Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Joelle Piper is a financial advisor registered with Capital Client Group, Inc. Caroline is based in San Antonio, Texas. Caroline has been in the financial services industry since February 2021. Caroline's professional designations include Series 63, Series 7, Series 6 and the SIE exam. Caroline is registered to provide investment advice and securities services in Texas, Iowa, Illinois, Indiana, Kentucky, Missouri and Tennessee.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
TX
02/10/2021 - Present
Capital Client Group, Inc. (SAN ANTONIO TX)
BC
Issued 03/09/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/10/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/21/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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