Carolyn HennionCRD Number: 1296051
Current Firm: Umpqua Investments, Inc.
Carolyn Hennion (CRD# 1296051) is an Investment Advisor Representative working at Umpqua Investments, Inc. in Medford, OR and has over 23 years of experience in the finance industry. Carolyn Hennion 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.
Oregon Pacific Financial Advisors Inc.
Raymond James Financial Services Advisors, Inc.
Cetera Advisor Networks LLC
|Umpqua Investments, Inc.||Medford, OR||Oct 1994 - Current||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management543MILLIONS
Total Number of Accounts2,318ACCOUNTS
Average Account Value$234,062
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, LA, MA, MD, MI, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SD, TX, UT, VA, WA, WI