Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Eisen is a financial professional with over 18 years of experience in the securities industry. Caroline currently works for Natixis Securities Americas LLC, based in New York, NY. Prior to this role, Caroline worked at NOMURA SECURITIES INTERNATIONAL, INC., UBS SECURITIES LLC, RBC CAPITAL MARKETS, LLC, BARCLAYS CAPITAL INC., LEHMAN BROTHERS INC., and HSBC SECURITIES (USA) INC., all in New York, NY. Caroline holds Series 63, SIE, and Series 17 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.
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
10/19/2018 - Present
Natixis Securities Americas LLC (NEW YORK NY)
NY
12/03/2012 - 10/25/2018
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
03/10/2011 - 11/21/2012
UBS SECURITIES LLC (NEW YORK NY)
NY
10/30/2008 - 01/28/2011
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
09/22/2008 - 10/27/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
02/28/2007 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/10/2004 - 02/23/2007
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
BC
Issued 07/29/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2004
Series 17 - Limited Registered Representative Examination
Active
Inactive
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FINRA
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