Caroline Stone is a registered investment advisor, based in Boston, MA, with 12 years of industry experience.
Location
100 Federal St, Boston, MA, 02110
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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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Caroline is a sole proprietor in Concord, MA, since June 2024. She devotes minimal time to this activity during work or securities trading hours.
Employment History
Current Registrations
Franklin Distributors, LLC
July 2024 - Present · 1 yr 9 mos
Franklin Distributors, LLCBroker
July 2024 - Present · 1 yr 9 mos
Putnam Investment Management, LLC
June 2020 - Present · 5 yrs 10 mos
Previous Registrations
Putnam Retail Management Limited PartnershipBroker
March 2020 - July 2024 · 4 yrs 4 mos
Putnam Investment Management, LLC
December 2013 - February 2019 · 5 yrs 2 mos
Putnam Retail Management Limited PartnershipBroker
September 2012 - February 2019 · 6 yrs 5 mos
State Registrations51 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.