Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Ashton Wathey is a financial advisor with Stonex Financial Inc. Caroline has been in the financial services industry since 2009 and has a Series 3, Series 7 and SIE licenses. Caroline's previous employers include E D & F MAN CAPITAL MARKETS INC. and MF GLOBAL INC. Caroline is registered in New York.
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
09/19/2022 - Present
Stonex Financial Inc. (NEW YORK NY)
NY
02/19/2013 - 09/13/2022
E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)
NY
10/29/2007 - 12/12/2011
MF GLOBAL INC. (NEW YORK NY)
BC
Issued 02/12/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/2010
Series 3 - National Commodity Futures Examination
BC
Issued 10/27/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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