Carole Tholen

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

• 09/2025 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Alpharetta, GA
• 07/2015 → 07/2025
  1.800Md, Llc
  Charlotte, NC
• 10/2025 → Present
  Bank Of America, N.A.
  Alpharetta, GA

Other Businesses

I*2835269, Entity Type, Name of OBA: J H PLEDGED TO ML LENDER Address: Alpharetta Georgia30004 Investment Related: No Position, Title, Association: Power of AttorneyEmployee Start Date: 01/01/2022No Hours: 0 No Hours during trading: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2025-12-10

Other Names

• Carole Elizabeth Henderson
• Carole Henderson
• Carole Elizabeth Tholen