Caroline R Walters

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Baton Rouge, LA
• 08/2022 → 08/2023
  Loyola University Of Chicago- Quinlan School Of Business
  Chicago, IL
• 08/2018 → 05/2022
  University Of Alabama
  Tuscloosa, AL
• 09/2021 → 05/2022
  Downtown Entertainment Llc
  Tuscaloosa, AL
• 05/2022 → 08/2022
  Unemployed
  Baton Rouge, LA
• 05/2019 → 08/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Baton Rouge, LA
• 08/2014 → 08/2018
  St. Joseph's Academy High School
  Baton Rouge, LA
• 03/2016 → 05/2017
  Baton Rouge Country Club
  Baton Rouge, LA

Other Businesses

I*: 2150272 Name: Louisiana Association of Business and Industry (LABI) Investment-related --No Address: Baton Rouge, LA Nature of the other business - LABI (in general): Advocacy and promotion of free enterprise and economic growth within Louisiana. Start Date: 02/01/2025 Number of Hours: 10 hrs annually Number of Hours during trading: 4 hrs annually Duties: Emerging Leaders Council: to connect, mentor, and distinguish young adults and entrepreneurs in Louisiana who have demonstrated commitment to making the state a great place to live and work. Taxation and Finance Council: share ideas and discuss tax and fiscal matters that impact Louisiana's business and economic development. Your position - Member of Taxation and Finance Council Member of Emerging Leaders Council Title, or relationship with the other businessNone - No title just a general member or council member Start date of your relationship01-Feb-2025 Approximate number of hours/month you devote to the other business1 hours per month (I attend quarterly meetings for both councils which last around an hour each) Number of hours you devote to the other business during securities trading hoursNone - These meetings are usually after 4pm CST Briefly describe your duties relating to the other businessAttend quarterly council meeting to discuss current economic conditions and new developments that relate to finance and taxation in Louisiana.

Exams

• S66 Uniform Combined State Law Examination
  2026-02-02

Other Names

• Caroline Walters