Carolyn Hennion, financial advisor Medford OR
86 score

Carolyn Hennion

CRD 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.

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Professional Designations
Company Name Location Dates Years
Umpqua Investments, Inc. Medford, OR Oct 1994 - Current 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1993
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Carolyn L. Hennion
Phone Number: 503-226-7000
Registered State(s):
  • CA
  • DE
  • OR
  • WA
  • MA
By the Numbers
  • Total Assets Under Management
    543
    MILLIONS
  • Total Number of Accounts
    2,318
    ACCOUNTS
  • Average Account Value
    $234,062
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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

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BADGES
86

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