Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Agamata mccormick is a financial advisor with over 30 years of experience in the industry. Caroline is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2009. Previously, Caroline held positions at Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Caroline specializes in providing investment consulting services to institutional clients, financial planning, and portfolio management for businesses and individuals. Caroline is also a trustee for her parents' trust. Caroline is licensed to conduct business in multiple states and has passed the Series 7, Series 31, Series 63, and Series 65 exams. Caroline is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
01/21/2021 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
NY
05/07/1997 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/10/1994 - 05/13/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/13/1993 - 10/26/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MA
08/03/1992 - 07/12/1993
JMC INVESTMENT SERVICES, INC. (BOSTON MA)
IA
Issued 11/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 07/30/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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