Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Maglio is a registered representative with Charles Schwab & CO., Inc. Caroline has been working in the financial services industry since 1994. Caroline has experience with both brokerage and investment advisory services. Caroline has worked at TD Ameritrade, Inc., Fidelity Brokerage Services LLC, 1784 Investor Services, Inc., and SEI Financial Services Company. Caroline holds the Series 6, 7, 9, 10, 24, 63, 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CA
01/08/2025 - Present
Charles Schwab & CO., Inc. (Menlo Park CA)
CA
05/24/2021 - 07/29/2024
TD AMERITRADE, INC. (Menlo Park CA)
CA
03/24/2020 - 01/11/2021
TD AMERITRADE, INC. (CUPERTINO CA)
CA
08/16/1995 - 01/08/2020
FIDELITY BROKERAGE SERVICES LLC (CAMPBELL CA)
MA
11/04/1994 - 07/25/1995
1784 INVESTOR SERVICES, INC. (BOSTON MA)
PA
11/29/1993 - 11/08/1994
SEI FINANCIAL SERVICES COMPANY (OAKS PA)
BOTH
Issued 08/02/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/19/2002
Series 24 - General Securities Principal Examination
BC
Issued 07/10/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/10/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/26/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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