Caroline Caldwell

3344 Peachtree Road Ne Suite 2200, Atlanta, GA 30326 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2025-03-03

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Atlanta	GA	07/2021	10/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Atlanta	GA	01/2020	05/2020
Spanx	Atlanta	GA	05/2019	08/2019
Centene Corporation / Peach State Health Plan	Atlanta	GA	05/2018	08/2018
Virtual Properties Realty	Smyrna	GA	09/2020	11/2020
Crain Law, Llc / Athens Historical Properties	Athens	GA	07/2020	08/2020
Georgia Institute Of Technology	Atlanta	GA	08/2017	05/2021
Clarke County School System	Athens	GA	08/2011	08/2017
Bank Of America, N.A.	Atlanta	GA	06/2023	10/2024
Balentine, Llc	Atlanta	GA	10/2024	Present

07/2021 → 10/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA
01/2020 → 05/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA
05/2019 → 08/2019

Spanx

Atlanta, GA
05/2018 → 08/2018

Centene Corporation / Peach State Health Plan

Atlanta, GA
09/2020 → 11/2020

Virtual Properties Realty

Smyrna, GA
07/2020 → 08/2020

Crain Law, Llc / Athens Historical Properties

Athens, GA
08/2017 → 05/2021

Georgia Institute Of Technology

Atlanta, GA
08/2011 → 08/2017

Clarke County School System

Athens, GA
06/2023 → 10/2024

Bank Of America, N.A.

Atlanta, GA
10/2024 → Present

Balentine, Llc

Atlanta, GA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-01-18
S63	Uniform Securities Agent State Law Examination	2022-11-19

Other Firms