Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Calder is a financial advisor who has been in the industry for over 20 years. Caroline is registered with Morgan Stanley, and has held previous positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Morgan Stanley Smith Barney, SunTrust Securities, Inc., Auerbach, Pollak & Richardson Inc., Melhado, Flynn & Associates, Inc., Zweig Securities Corp., and Dominick & Dominick, Incorporated. Caroline is a Registered Representative and Investment Advisor Representative in the state of Connecticut, and is licensed in several other states as well. Caroline Calder has a diverse background in the financial services industry, including experience in investments, futures, and financial planning. Caroline holds the Series 3, 7, 31, 63, 65 and 66 licenses.
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
CT
03/08/2019 - Present
Morgan Stanley (Greenwich CT)
CT
08/15/2014 - 03/11/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DARIEN CT)
CT
03/31/2011 - 08/25/2014
UBS FINANCIAL SERVICES INC. (WESTPORT CT)
GA
03/05/2010 - 02/07/2011
MORGAN STANLEY SMITH BARNEY (ATLANTA GA)
GA
08/02/2000 - 09/20/2002
SUNTRUST SECURITIES, INC. (ATLANTA GA)
CT
12/17/1999 - 07/26/2000
AUERBACH, POLLAK & RICHARDSON INC. (STAMFORD CT)
NY
04/25/1999 - 12/03/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/20/1999 - 04/14/1999
MELHADO, FLYNN & ASSOCIATES, INC. (NEW YORK NY)
CT
05/30/1990 - 09/09/1992
ZWEIG SECURITIES CORP. (HARTFORD CT)
NA
04/19/1983 - 04/02/1986
DOMINICK & DOMINICK, INCORPORATED
BOTH
Issued 03/31/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/06/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 03/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 04/08/1985
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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