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Carol Galpeer is a registered investment advisor at Cetera Investment Advisers LLC, based in Norwalk, CT, with 48 years of industry experience. Carol operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Norwalk, CT
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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 Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Cetera Advisors LLC
October 2016 - March 2024 · 7 yrs 5 mos
Investors Capital CORP.Broker
January 2008 - October 2016 · 8 yrs 9 mos
Investors Capital Advisory
January 2008 - October 2016 · 8 yrs 9 mos
UBS Financial Services INC.
February 1992 - January 2008 · 15 yrs 11 mos
UBS Financial Services INC.Broker
October 1988 - January 2008 · 19 yrs 3 mos
Shearson Lehman Hutton INC.Broker
February 1988 - October 1988 · 8 mos
E. F. Hutton & Company INCBroker
July 1977 - February 1988 · 10 yrs 7 mos
State Registrations8 states
CTDCFLKSNJNYPATX
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.