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Detailed Report
Caroline E Salvator
CAROLINE ELISABETH MOOS, CAROLINE ELISABETH SALVATOR, CAROLINE SALVATOR
CRD#: 4248405
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5805 SE FEDERAL HWY
STUART, FL 34997
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2023 - 2024 (<1 year)BFIDELITY DISTRIBUTORS COMPANY LLC (CRD# 17507)2022 - 2023 (1 year)B21ST CENTURY FINANCIAL SERVICE... (CRD# 42750)2005 - 2005 (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2000 - 2003 (3 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2024 - 2024 (<1 year)
License(s)

State Registrations

B
Alabama 11/12/2024
B
Michigan 1/17/2025
B
Connecticut 11/12/2024
B
New Jersey 11/12/2024
B
Florida 11/1/2024
B
New York 11/12/2024
IA
Florida 11/4/2024
B
Pennsylvania 11/12/2024
B
Georgia 11/12/2024
B
Texas 11/12/2024
B
Massachusetts 11/12/2024
IA
Texas 11/12/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5805 SE FEDERAL HWY, STUART, FL 34997
Registered with this firm since 11/4/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5805 SE FEDERAL HWY, STUART, FL 34997
Registered with this firm since 11/1/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/13/2024 - 09/05/2024 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) SMITHFIELD, RI
B
 11/16/2023 - 09/05/2024 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
B
 05/23/2022 - 11/01/2023 FIDELITY DISTRIBUTORS COMPANY LLC (CRD#:17507) SMITHFIELD, RI
B
 04/20/2005 - 07/05/2005 21ST CENTURY FINANCIAL SERVICES, INC. (CRD#:42750) EAST MEADOW, NY
B
 11/24/2000 - 11/20/2003 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.