Stephanie Caro is a registered investment advisor, based in Saint Paul, MN, with 6 years of industry experience.
Location
400 Robert St N, Ste 800, Saint Paul, MN, 55101
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Financial Specialists LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Advisors LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Advisors LLCBroker
August 2023 - Present · 3 yrs 1 mo
Cetera Investment Services LLCBroker
August 2023 - Present · 3 yrs 1 mo
Cetera Financial Specialists LLCBroker
August 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLCBroker
August 2023 - Present · 3 yrs 1 mo
Cetera Investment Advisers LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLC
August 2023 - Present · 3 yrs 1 mo
Previous Registrations
Securian Financial Services, INC.
May 2023 - August 2023 · 3 mos
Securian Financial Services, INC.Broker
December 2019 - August 2023 · 3 yrs 8 mos
State Registrations1 state
MN
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.