Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Wang is a financial professional with over 8 years of experience in the financial industry. Caroline currently works at Lazard Freres & Co. LLC, a firm with a focus on providing financial services. Caroline is a Series 7, Series 55, Series 52, Series 3, SIE, Series 79TO and Series 57TO licensed professional. Prior to working at Lazard Freres & Co. LLC, Caroline worked at ALPS Distributors, INC. and Citigroup Global Markets Inc.. Caroline is licensed in 33 states, including Alabama, Arizona, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Virginia, Washington, Wisconsin and Wyoming.
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.
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.
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2
NY
06/04/2020 - Present
Lazard Freres & Co. LLC (NEW YORK NY)
CT
06/03/2016 - 07/13/2018
ALPS DISTRIBUTORS, INC. (GREENWICH CT)
NY
08/05/2013 - 04/22/2016
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 08/08/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 08/07/2020
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 07/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2016
Series 3 - National Commodity Futures Examination
BC
Issued 08/29/2015
Series 52 - Municipal Securities Representative Examination
BC
Issued 11/23/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/05/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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