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Caroline W Casey

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New Orleans, LA

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-04-08
LA RA APPROVED 2026-02-10
  • TX RA
    APPROVED
    Since 2026-04-08
  • LA RA
    APPROVED
    Since 2026-02-10

Branch Locations

601 Poydras St, New Orleans, LA 70130 • United States

One Bryant Park, New York, NY 10036 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Orleans LA 11/2024 Present
Unemployed New Orleans LA 05/2024 11/2024
University Of Alabama Tuscaloosa AL 08/2020 05/2024
Hancock Whitney New Orleans LA 05/2023 08/2023
Academy Of The Sacred Heart New Orleans LA 08/2005 05/2020
  • 11/2024 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    New Orleans, LA
  • 05/2024 → 11/2024
    Unemployed
    New Orleans, LA
  • 08/2020 → 05/2024
    University Of Alabama
    Tuscaloosa, AL
  • 05/2023 → 08/2023
    Hancock Whitney
    New Orleans, LA
  • 08/2005 → 05/2020
    Academy Of The Sacred Heart
    New Orleans, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-02-09
  • S66 Uniform Combined State Law Examination
    2026-02-09

View on SEC IAPD

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