Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Cole Wallace is a financial advisor with over 6 years of experience in the financial services industry. Caroline has a broad range of experience, having previously worked at UBS Asset Management (US) Inc. Caroline is currently registered with AQR Investments, LLC. Caroline holds the Series 3, 7TO, and 63 licenses. Caroline is registered in 51 states.
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.
1
2
CT
07/15/2024 - Present
AQR Investments, LLC (GREENWICH CT)
IL
10/31/2022 - 07/02/2024
UBS ASSET MANAGEMENT (US) INC. (CHICAGO IL)
BC
Issued 07/29/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/07/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/31/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/10/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
Not sure Caroline Wallace is the right advisor for you? Invested Better is here to help.
