Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Caldwell is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with approximately $10 billion to $50 billion in assets under management. Caroline is registered with FINRA and has Series 7TO, Series 63 and Series 65 licenses. Caroline has been in the industry since May 1, 2022, and is currently licensed in Georgia and Texas. She also holds Investment Advisor Representative licenses in Georgia and Texas. Caroline has a wide range of experience, having worked previously at a number of different firms in the finance and real estate industries.
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
GA
01/18/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ATLANTA GA)
IA
Issued 01/18/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/02/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/04/2022
SIE - Securities Industry Essentials 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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