Caroline B Ward

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	2023-08-03
MN	RA	APPROVED	2023-06-23

TX RA
APPROVED

Since 2023-08-03
MN RA
APPROVED

Since 2023-06-23

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

80 S 8Th St, Minneapolis, MN 55402 • 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	Minneapolis	MN	03/2023	Present
Artisan Partners	Denver	CO	07/2021	01/2023
Ucla Anderson School Of Management	Los Angeles	CA	07/2019	07/2021
Artisan Partners	Denver	CO	05/2020	09/2020
Travelers Insurance Co	St Paul	MN	07/2016	07/2019
Unemployed	Denver	CO	01/2023	03/2023
Bank Of America N.A.	Minneapolis	MN	04/2023	Present

03/2023 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Minneapolis, MN
07/2021 → 01/2023

Artisan Partners

Denver, CO
07/2019 → 07/2021

Ucla Anderson School Of Management

Los Angeles, CA
05/2020 → 09/2020

Artisan Partners

Denver, CO
07/2016 → 07/2019

Travelers Insurance Co

St Paul, MN
01/2023 → 03/2023

Unemployed

Denver, CO
04/2023 → Present

Bank Of America N.A.

Minneapolis, MN

Other Businesses

I*2389303, Entity Type: , Name of OBA: K B, Address: Eden Prairie , Minnesota, 55346, Investment Related: N, Position, Title, Association: , Employee State Date: 24-Apr-2025, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-06-22

S66 Uniform Combined State Law Examination

2023-06-22

Other Names

Caroline Bell Ward

View on SEC IAPD