Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Elizabeth Gettys is a registered representative with Wells Fargo Clearing Services, LLC. Caroline has been in the financial services industry for 3 years. Caroline is also registered in the state of North Carolina as an Investment Advisor Representative. Caroline is a licensed Series 7TO, 66 and SIE securities professional and is affiliated with the Charlotte, NC branch of Wells Fargo Clearing Services. Previous to joining Wells Fargo, Caroline was employed by TIAA-CREF Individual & Institutional Services, LLC. Caroline is an active member of the industry and holds a number of specializations.
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.
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.
Investment consulting services to institutional clients
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
NC
08/01/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
04/14/2022 - 03/27/2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
NC
01/24/2022 - 02/22/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
BOTH
Issued 02/14/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/24/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/11/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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