Caroline Hall is a CFP-designated registered investment advisor, based in Montgomery, AL, with 6 years of industry experience.
Location
3170 Parliament Circle, Suite A, Montgomery, AL, 36116-7294
Get directionsHistory
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Caroline is an independent insurance agent for various independent insurance agencies. This activity is investment-related and takes minimal time.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
August 2022 - Present · 3 yrs 9 mos
Cambridge Investment Research, INC.Broker
August 2022 - Present · 3 yrs 9 mos
Cambridge Investment Research, INC.
August 2022 - Present · 3 yrs 9 mos
Previous Registrations
Level Four Financial, LLCBroker
July 2021 - August 2022 · 1 yr 1 mo
Level Four Advisory Services
July 2021 - August 2022 · 1 yr 1 mo
Southwestern Investment Advisory Services, INC.
October 2019 - July 2021 · 1 yr 9 mos
Raymond James Financial Services Advisors, INC
October 2019 - October 2019 · 0 mos
Raymond James Financial Services, INC.Broker
September 2019 - July 2021 · 1 yr 10 mos
State Registrations2 states
ALTX
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.