Carol Aderman, financial advisor Topsham ME
96 score

Carol Aderman

CRD Number: 4510590
Current Firm: Cuna Brokerage Services, Inc.

Carol Aderman (CRD# 4510590) is an Investment Advisor Representative working at Cuna Brokerage Services, Inc. in Topsham, ME and has over 14 years of experience in the finance industry. Carol Aderman 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
Cuna Mutual Group Waverly, IA Feb 2011 - Current 5
Cuna Brokerage Services, Inc. Waverly, IA Feb 2011 - Current 5
Morgan Stanley Smith Barney Portland, ME Jun 2009 - Dec 2010 1
Citigroup Global Markets Inc. Portland, ME Nov 2007 - Dec 2010 3
Bank Of America, N.a. Portland, ME Oct 2004 - Nov 2007 3
Banc Of America Investment Services, Inc. Portland, ME Oct 2004 - Nov 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2002
S65 NASAA Investment Advisors Law Examination Oct 2004
Contact Info for Carol S. Aderman
Phone Number: 319-352-4090
Registered State(s):
  • ME
By the Numbers
  • Total Assets Under Management
    1,331
    MILLIONS
  • Total Number of Accounts
    6,286
    ACCOUNTS
  • Average Account Value
    $211,803
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Other
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, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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