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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Guy is a financial advisor who has been in the industry since 2008. She is currently registered with Morgan Stanley, where she provides financial planning and investment advice to individuals, families, and businesses. Caroline has a wide range of experience in the financial services industry, including time spent at Wells Fargo Advisors and Commerce Square Trading, LLC. She holds the Series 7, 9, 10, 24, 52TO, 53, 63, 66, and 99TO licenses and is registered to offer investment advice in 56 states and the District of Columbia.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AL
10/12/2021 - Present
Morgan Stanley (MOBILE AL)
TN
06/18/2013 - 04/21/2021
WELLS FARGO CLEARING SERVICES, LLC (MEMPHIS TN)
GA
04/26/2011 - 01/03/2013
COMMERCE SQUARE TRADING, LLC (ATLANTA GA)
TN
02/06/2008 - 04/18/2011
FTN FINANCIAL SECURITIES CORP (MEMPHIS TN)
BOTH
Issued 07/03/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/23/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/20/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/15/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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