Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Smyser-shaeffer Walker is a financial professional with over 25 years of experience in the industry. Caroline currently works with T. Rowe Price Investment Services, Inc., where she has been registered since March 2007. Caroline is licensed in 53 states and holds Series 6, 7, 63, 65, and SIE licenses. Prior to joining T. Rowe Price Investment Services, Inc., Caroline worked with Fidelity Brokerage Services LLC and WM Financial Services, Inc.
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.
1
2
MD
03/13/2007 - Present
T. Rowe Price Investment Services, Inc. (BALTIMORE MD)
WA
06/16/2004 - 02/22/2007
FIDELITY BROKERAGE SERVICES LLC (BELLEVUE WA)
CA
03/14/2003 - 06/01/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
MD
08/09/1996 - 10/23/2002
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 10/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1997
Series 7 - General Securities Representative Examination
BC
Issued 08/08/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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