Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Lane is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., which is a broker-dealer firm. Caroline Lane has been in the securities industry since 2014. Caroline Lane is currently registered with the state of California and is actively providing securities services in the state. Caroline Lane is also registered with the state of Connecticut, New York and Texas. In addition to her role at Merrill Lynch, Pierce, Fenner & Smith Inc., Caroline Lane also serves as a Registered Investment Advisor. Caroline Lane is actively providing investment advisory services in the state of California and Connecticut. Caroline Lane can provide investment advisory services in the state of New York and Texas.
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
CA
01/12/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
BOTH
Issued 01/04/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2014
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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