Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Grady is a registered representative with Santander US Capital Markets LLC. Caroline is licensed to sell securities in New York. Caroline has passed the Series 63, 7TO, 79TO and SIE exams. Caroline joined the industry on November 13, 2023.
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.
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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2
NY
11/14/2023 - Present
Santander US Capital Markets LLC (NEW YORK NY)
BC
Issued 11/21/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2024
Series 7TO - General Securities Representative Examination
BC
Issued 11/14/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/18/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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