Caroline M Gillis

$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:

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2026-07-13

Branch Locations

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

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	01/2025	Present
Bank Of Montreal	Halifax		05/2023	08/2023
Bank Of Montreal	Halifax		09/2022	12/2022
Bank Of Montreal	Halifax		01/2022	04/2022
Duxbury Bay Maritime School	Duxbury	MA	06/2017	12/2024
Unemployed	Scituate	MA	05/2024	12/2024
Dalhousie University	Halifax		09/2023	04/2024
Dalhousie University	Halifax		01/2023	04/2023
Dalhousie University	Halifax		05/2022	08/2022
Dalhousie University	Halifax		09/2020	12/2021
Class Afloat	Lunenberg		09/2019	04/2020
Norwell Public Schools	Norwell	MA	09/2006	05/2019

01/2025 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA
05/2023 → 08/2023

Bank Of Montreal

Halifax
09/2022 → 12/2022

Bank Of Montreal

Halifax
01/2022 → 04/2022

Bank Of Montreal

Halifax
06/2017 → 12/2024

Duxbury Bay Maritime School

Duxbury, MA
05/2024 → 12/2024

Unemployed

Scituate, MA
09/2023 → 04/2024

Dalhousie University

Halifax
01/2023 → 04/2023

Dalhousie University

Halifax
05/2022 → 08/2022

Dalhousie University

Halifax
09/2020 → 12/2021

Dalhousie University

Halifax
09/2019 → 04/2020

Class Afloat

Lunenberg
09/2006 → 05/2019

Norwell Public Schools

Norwell, MA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-07-13

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