Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Salman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Caroline has been in the industry since 1996 and has a strong track record of success. Caroline is registered with the following states: Alabama, Arizona, Arkansas, California, Delaware, District of Columbia, Florida, Georgia, Illinois, Kansas, Louisiana, Maryland, Massachusetts, Michigan, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, West Virginia, and Wyoming. Caroline holds the following licenses: Series 3, 7, 63, 65 and SIE. Caroline has previously worked at Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Goldman, Sachs & Co. Caroline provides a range of services to clients, including portfolio management, financial planning, and pension consulting.
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
VA
05/11/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RICHMOND VA)
IL
06/01/2009 - 05/13/2010
MORGAN STANLEY SMITH BARNEY (CHICAGO IL)
IL
08/09/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NY
08/30/1996 - 08/15/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 02/15/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1997
Series 3 - National Commodity Futures Examination
BC
Issued 08/29/1996
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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