Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Duke is a financial advisor with over 13 years of experience in the financial services industry. Caroline has a Series 6 and SIE license and is currently registered with Equitable Advisors, LLC. Before joining Equitable Advisors, LLC, Caroline worked for Equitable Distributors, LLC and Pruco Securities, LLC. Caroline specializes in financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management. Caroline also has experience working with a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
05/05/2021 - Present
Equitable Advisors, LLC (NEW YORK NY)
NC
05/02/2018 - 02/03/2021
EQUITABLE DISTRIBUTORS, LLC (CHARLOTTE NC)
NJ
01/03/2013 - 04/13/2018
PRUCO SECURITIES, LLC. (NEWARK NJ)
FL
09/03/2008 - 01/02/2013
HARTFORD EQUITY SALES COMPANY INC. (LAKE MARY FL)
BC
Issued 01/17/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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