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Caroline W Robertson

Barclays Capital Inc.

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About Caroline W Robertson

Caroline Robertson is a financial professional with over 3 years of experience in the industry. Caroline is currently registered with Barclays Capital Inc. and has held previous roles at B. C. ZieGLER AND COMPANY. Caroline holds the Series 63, Series 79TO, Series 52TO, and SIE licenses. Caroline has an active registration with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

Firm Information

Caroline Robertson is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Caroline Robertson’s Registration & Firm History

IL

04/29/2021 - Present

Barclays Capital Inc. (CHICAGO IL)

IL

07/03/2019 - 04/23/2021

B. C. ZIEGLER AND COMPANY (CHICAGO IL)

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Licenses & Designations

BC

Issued 12/13/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/01/2021

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 07/03/2019

Series 52TO - Municipal Securities Representative Examination

BC

Issued 02/22/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE National, Inc.

N

New York Stock Exchange

Disclosures

There are no public disclosures for Caroline W Robertson.
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