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Caroline Sobolewski

18 Years of Experience
New Orleans, LA
Broker

Caroline Sobolewski is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in New Orleans, LA, with 18 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B

Fee Structure

Hourly Rate:Up to $400/hr
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Location

636 Carondelet, New Orleans, LA, 70130

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History

Regulatory History
Clean regulatory record

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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Employment History
Current Registrations
Raymond James Financial Services, INC.
June 2023 - Present · 2 yrs 11 mos
Raymond James Financial Services Advisors, INC
June 2023 - Present · 2 yrs 11 mos
Raymond James Financial Services, INC.Broker
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2008 - June 2023 · 14 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2007 - June 2023 · 15 yrs 11 mos
Morgan Stanley Dw INC.Broker
January 2007 - March 2007 · 2 mos
State Registrations8 states
ALCAFLLAMSRITXWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
Caroline Sobolewski - Financial Advisor | TrueAdvisor