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Caroline J Williams

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clearwater, FL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-05-03
CA RA APPROVED 2009-12-08
TX RA APPROVED 2009-02-20
NC RA APPROVED 2007-06-28
  • FL RA
    APPROVED
    Since 2022-05-03
  • CA RA
    APPROVED
    Since 2009-12-08
  • TX RA
    APPROVED
    Since 2009-02-20
  • NC RA
    APPROVED
    Since 2007-06-28

Branch Locations

601 Cleveland St, Clearwater, FL 33755 • 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 Winston-Salem NC 06/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-27
  • S66 Uniform Combined State Law Examination
    2007-06-27
Other Names
  • Caroline Justi

View on SEC IAPD

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PFS INVESTMENTS INC. · CLEARWATER, FL
PFS INVESTMENTS INC. · CLEARWATER, FL
PFS INVESTMENTS INC. · CLEARWATER , FL
USA FINANCIAL SECURITIES LLC · Clearwater, FL
BEDINGHAUS FINANCIAL GROUP, INC · CLEARWATER, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Clearwater, FL
EDWARD JONES · CLEARWATER, FL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · CLEARWATER, FL

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