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CAROL J MARLOWE
CAROL MARLOWE, CAROL J MCAULIFFE ^, CAROL J MCAULIFFE, CAROL J MENSCHEL ^, CAROL J MENSCULE
CRD#: 5564951
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45 WILLIAM ST
WELLESLEY HILLS, MA 02481
WELLESLEY HILLS, MA 02481
0
Disclosures
16
Years of Experience
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State Registrations
B
Arizona 10/13/2016
B
New Jersey 1/29/2016
B
California 1/29/2016
B
New York 9/28/2011
B
Colorado 10/1/2024
B
North Carolina 1/29/2016
IA
Connecticut 9/28/2011
B
Ohio 9/21/2016
B
Connecticut 4/3/2012
B
Oregon 10/13/2016
B
Florida 3/5/2012
B
Pennsylvania 1/29/2016
B
Georgia 10/13/2016
B
Puerto Rico 2/15/2021
B
Illinois 10/13/2016
B
Rhode Island 9/28/2011
B
Indiana 2/3/2020
B
South Carolina 10/13/2016
B
Kentucky 3/1/2017
B
Tennessee 3/1/2017
B
Maine 9/28/2011
IA
Texas 10/11/2011
B
Maryland 1/29/2016
B
Texas 7/18/2016
B
Massachusetts 9/28/2011
B
Utah 6/18/2024
B
Michigan 12/2/2024
B
Vermont 3/1/2017
B
Mississippi 2/8/2022
B
Virgin Islands 2/13/2025
B
Missouri 9/21/2016
B
Virginia 1/29/2016
B
Nevada 11/7/2023
B
Washington 1/2/2021
B
New Hampshire 9/28/2011
B
Wisconsin 1/10/2019
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 9/28/2011
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Registered with this firm since 9/28/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/15/2008 - 09/01/2011 | FAIRFIELD, CT | |
B | 11/05/2008 - 09/01/2011 | FAIRFIELD, CT | |
B | 08/01/2008 - 09/16/2008 | SHELTON, CT |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.