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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

CAROLE-LYNN SAROS

Advisor at NWF ADVISORY SERVICES INC

WILLINGTON, CT

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Search this name across graphsid dfx:ria:fd2145cb-785e-7281-1902-46edc3c8ab95

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NWF ADVISORY SERVICES INC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 24, 2001
First registration: Mar 22, 2001
Dual registered: yes, broker-dealer
Other names: CAROLELYNN SAROS|CAROLE SAROS|CL SAROS|CAROLE LYNN DENIGRIS |CAROLE LYNN SAROS|CAROLE LYNN SAROS
IAPD individual key: 2092603

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NWF ADVISORY SERVICES INC	Independent wealth	May 28, 2025	n/a	yes	WILLINGTON, CT	Current employment
THE AMERIFLEX GROUP	Bd affiliated wealth	Jul 29, 2024	Jul 2, 2025	no	Willington, CT	Previous registration
THE PERSONAL WEALTH COACH	Independent wealth	Aug 13, 2007	Mar 21, 2012	no	WILLINGTON, CT	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Oct 24, 2006	Jul 31, 2024	no	SALADO, TX\|WILLINGTON, CT	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Mar 22, 2001	Oct 30, 2006	no	WILLINGTON, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
THE AMERIFLEX GROUP	NWF ADVISORY SERVICES INC	Jul 2, 2025	May 28, 2025	-35	Bulk transfer	Ibd to RIA
NEXT FINANCIAL GROUP, INC.	THE PERSONAL WEALTH COACH	Jul 31, 2024	Aug 13, 2007	-6,197	Firm change after gap	Other
THE PERSONAL WEALTH COACH	THE AMERIFLEX GROUP	Mar 21, 2012	Jul 29, 2024	4,513	Firm change after gap	Other
TRANSAMERICA FINANCIAL ADVISORS, LLC	NEXT FINANCIAL GROUP, INC.	Oct 30, 2006	Oct 24, 2006	-6	Firm change	Other

Relationships

Registered with (5)

→ NWF ADVISORY SERVICES INCRegistered adviserregistration: current employment
May 28, 2025 to presentfactForm ADV
→ THE AMERIFLEX GROUPRegistered adviserregistration: previous registration
Jul 29, 2024 to Jul 2, 2025factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Oct 24, 2006 to Jul 31, 2024factForm ADV
→ THE PERSONAL WEALTH COACHRegistered adviserregistration: previous registration
Aug 13, 2007 to Mar 21, 2012factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 22, 2001 to Oct 30, 2006factForm ADV

Dated events

Occurred
Jul 31, 2024
Advisor changed firm
Carole-Lynn Saros left Next Financial Group, Inc. for The Personal Wealth Coach (registered 2007-08-13)
Form ADVobserved 4 days ago