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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Littrell is a financial advisor at Morgan Stanley. Caroline is a registered representative in North Carolina and Texas. Caroline has been working in the financial services industry since 2021. Caroline has experience working at VANGUARD MARKETING CORPORATION and Morgan Stanley. Caroline is registered in 41 states and has passed two state exams, Series 63 and Series 66, and two product exams, Series 7TO and SIE. Caroline is committed to helping her clients reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
10/03/2022 - Present
Morgan Stanley (Charlotte NC)
NC
08/18/2021 - 04/06/2022
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 06/02/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/30/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2021
Series 7TO - General Securities Representative Examination
BC
Issued 05/20/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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