Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Wilhelm is a financial advisor registered with Wells Fargo Clearing Services, LLC. Caroline has been in the industry since 2010 and holds Series 6, 7, 63, and 66 licenses. Caroline has worked for a number of financial firms in the past, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and RBC Centura Securities, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
11/29/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
06/21/2022 - 10/03/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
01/17/2017 - 05/17/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
12/18/2002 - 11/29/2004
RBC CENTURA SECURITIES, INC. (KANNAPOLIS NC)
MO
10/01/2000 - 09/12/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
03/20/1997 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 03/16/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2017
Series 7 - General Securities Representative Examination
BC
Issued 03/19/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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