Carol Whelan
Carol Whelan is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Farmington, CT, with 34 years of industry experience. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 323,031 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Cambridge Investment Research Advisors (CIRA) offers investment management services through several platforms. Fees are based on a percentage of your portfolio's value and are negotiable. The maximum annual fee is 2.25%. Fees can be structured as flat, tiered, or breakpoint. You may also encounter setup fees and service fees. Fees are typically deducted directly from your account. CIRA also offers WealthPort, a wrap fee program with inclusive fees. The WealthPort maximum advisory fee is 2.25% annually.
Location
Farmington, CT
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Carol owns Carrie's Air BNB and spends minimal time on it. Carol also works as an advisory representative of an RIA, taking nearly full-time hours.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Cetera Advisors LLCBroker
Cetera Advisors LLC
Questar Asset Management, INC.
Questar Capital CorporationBroker
Ing Financial Partners, INC
Ing Financial Partners, INC.Broker
Ing Financial Advisers, LLC
Ing Financial Advisers, LLCBroker
Aetna Life Insurance and Annuity CompanyBroker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.