Carolyn Mora (CRD# 2838521) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in El Paso, TX and has over 27 years of experience in the finance industry. Carolyn Mora has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 4138711
Securities America Advisors, Inc.
CRD# 5019215
Lpl Financial LLC
CRD# 6399903
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Cetera Financial Specialists LLC | Schaumburg, IL | Jan 2023 - Current | 1 |
| Cetera Investment Advisers LLC | Schaumburg, IL | Jan 2023 - Current | 1 |
| Carolyn L. Mora, Cpa, Pc | El Paso, TX | Jan 1999 - Current | 25 |
| Avantax Advisory Services | El Paso, TX | Oct 2019 - Feb 2023 | 3 |
| Avantax Investment Services, Inc. | El Paso, TX | Oct 2019 - Feb 2023 | 3 |
| Avantax Insurance Services, Inc. | El Paso, TX | Feb 2019 - Feb 2023 | 4 |
| 1st Global Advisors, Inc. | El Paso, TX | Feb 2019 - Oct 2019 | < 1 |
| 1st Global Capital, Corp | El Paso, TX | Feb 2019 - Oct 2019 | < 1 |
| Hd Vest Insurance Agency, LLC | Irving, TX | Jun 2018 - Feb 2019 | < 1 |
| Hd Vest Investment Services | El Paso, TX | Aug 2014 - Feb 2019 | 4 |
| Hd Vest Advisory Services | El Paso, TX | Aug 2014 - Feb 2019 | 4 |
| Cetera Financial Specialists, LLC | Schaumburg, IL | Jul 2013 - Aug 2014 | 1 |
| Cetera Investment Advisers, LLC | Schaumburg, IL | Jul 2013 - Aug 2014 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 1997 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1999 |
- TX
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Total Assets Under Management104,469MILLIONS
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Total Number of Accounts423,554ACCOUNTS
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Average Account Value$246,648
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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