Caroline Fauquier is a registered investment advisor, based in Bethesda, MD. Caroline is also registered as a broker, so some compensation may come from commissions on products sold.
Location
7373 Wisconsin Ave., Suite #750, Bethesda, MD, 20814
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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.
Learn about disclosures →Employment History
Current Registrations
Paralel DistributorsBroker
June 2026 - Present · 4 mos
Potomac
May 2026 - Present · 5 mos
Previous Registrations
Janney Montgomery Scott LLC
April 2026 - April 2026 · 0 mos
Janney Montgomery Scott LLCBroker
October 2025 - April 2026 · 6 mos
State Registrations2 states
MDVA
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.
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