Caroline Elizabeth Norris-jones

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-25
IL	RA	APPROVED	2020-07-15

TX RA
APPROVED

Since 2022-01-25
IL RA
APPROVED

Since 2020-07-15

Branch Locations

Chicago, IL • United States

110 N Wacker Dr, Chicago, IL 60606 • United States

Disclosures

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

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lisle	IL	10/2019	Present
Unemployed	Aurora	IL	06/2019	10/2019
Milonas Family Chiropractic	Naperville	IL	11/2016	05/2019
Unemployed	Aurora	IL	12/2015	11/2016

10/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lisle, IL
06/2019 → 10/2019

Unemployed

Aurora, IL
11/2016 → 05/2019

Milonas Family Chiropractic

Naperville, IL
12/2015 → 11/2016

Unemployed

Aurora, IL

Other Businesses

I*1463266 For profit or not for profit: Entity Charitable Name of outside business organization: Anti-Cruelty Society Investment related: N Address of business: Chicago, Illinois, 60654, United States Nature of business: ["Charitable Organization"] Position, title, association: ["Committee"], [["Other"]] Start date of relationship: 9/1/2023 Number of hours devoted: 52 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Fund raising, event planning, animal welfare

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-14

S66 Uniform Combined State Law Examination

2020-07-14

Other Names

Caroline Elizabeth Graham

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