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Caroline Devivo Klotz

Dowling & Partners Securities LLC

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About Caroline Devivo Klotz

Caroline Klotz is a registered representative with Dowling & Partners Securities LLC in FARMINGTON, CT. Caroline has been in the securities industry since September 13, 2012. Caroline is a Series 99 and SIE licensed professional. Caroline was previously registered with HALES SECURITIES, LLC.

Firm Information

Caroline Klotz is currently registered with Dowling & Partners Securities LLC. Dowling & Partners Securities LLC is a Limited Liability Company formed on July 1, 1994. The firm is registered in eight states: California, Connecticut, Florida, Illinois, Massachusetts, New Hampshire, New York, and Ohio. It also has an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

26

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Caroline Klotz’s Registration & Firm History

CT

09/14/2012 - Present

Dowling & Partners Securities LLC (FARMINGTON CT)

NY

01/15/2016 - 04/29/2024

HALES SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2012

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Caroline Devivo Klotz.
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