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Caroline L Harris

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Caroline L Harris

Caroline L. Harris is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Caroline has been in the securities industry for over 20 years and has experience working with a variety of clients including high-net-worth individuals, corporations, and pension plans. Caroline has held previous positions at UBS Financial Services Inc. and J.C. Bradford & Co. Currently, Caroline is registered to provide investment advice in 47 states and the District of Columbia.

Firm Information

Caroline Harris is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Caroline Harris’s Registration & Firm History

TN

12/22/2014 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (FRANKLIN TN)

TN

03/18/2014 - 12/11/2014

UBS FINANCIAL SERVICES INC. (NASHVILLE TN)

TN

07/07/2009 - 03/15/2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FRANKLIN TN)

TN

08/28/2008 - 07/23/2009

UBS FINANCIAL SERVICES INC. (FRANKLIN TN)

TN

08/14/2000 - 01/24/2008

UBS FINANCIAL SERVICES INC. (FRANKLIN TN)

NY

05/04/2000 - 08/14/2000

J.C. BRADFORD & CO. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/28/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/17/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/27/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 06/27/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/03/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Caroline L Harris.
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