Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Goddard Hanna is a registered representative with Northwestern Mutual Investment Services, LLC. Caroline has been in the financial services industry since April 2023. Before joining Northwestern Mutual Investment Services, LLC, Caroline was employed by WELLS FARGO CLEARING SERVICES, LLC and Equitable Advisors, LLC. Caroline is registered with the state of North Carolina and is licensed to sell securities in 51 other 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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
NC
05/11/2024 - Present
Northwestern Mutual Investment Services, LLC (CHARLOTTE NC)
NC
08/07/2023 - 04/18/2024
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
11/11/2022 - 04/03/2023
EQUITABLE ADVISORS, LLC (CHARLOTTE NC)
BOTH
Issued 11/28/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/27/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/24/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/11/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/15/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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