Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Baumgart is a financial advisor with over 20 years of experience in the industry. Caroline currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. in Denver, Colorado. Prior to that, Caroline worked at various firms, including NYLIFE DISTRIBUTORS LLC, State Street Research Investment Services, Inc., SG Cowen Securities Corporation, Donaldson, Lufkin & Jenrette Securities Corporation, and Cowen & Co. Caroline is a Series 7, Series 63, and Series 65 licensed professional.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CO
09/30/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DENVER CO)
NY
08/12/2004 - 03/05/2007
NYLIFE DISTRIBUTORS LLC (NEW YORK NY)
MA
08/21/2001 - 06/04/2004
STATE STREET RESEARCH INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/17/1999 - 08/07/2001
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NJ
06/24/1997 - 09/30/1999
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/31/1997 - 07/03/1997
COWEN & CO. (NEW YORK NY)
IA
Issued 06/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2024
Series 7TO - General Securities Representative Examination
BC
Issued 07/25/2024
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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