Carolyn Westerberg
Carolyn Westerberg is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Greenwich, CT, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
55 Railroad Ave, Greenwich, CT, 06830
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Carolyn is a general partner/managing member of VBreal, an S Corporation established in 2021 to purchase an investment property in Florida. She is a 1/3 investor and spends minimal time on this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
J.P. Morgan Securities LLCBroker
Harborside Securities, LLCBroker
Abn Amro Securities LLCBroker
Abn Amro IncorporatedBroker
Paribas CorporationBroker
Cs First Boston CorporationBroker
Shearson Lehman Brothers INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.