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Caroline Stover Lupo

Mwa Financial Services Inc.

Asheboro, NC

CRD 6751387

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Employer firm

Mwa Financial Services Inc. CRD 112630

$640M regulatory AUM 51 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Mwa Financial Services Inc.

1701 1St Avenue, Rock Island, IL 61201 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-08-28
  • NC RA
    APPROVED
    Since 2024-08-28

Branch Locations

1110 E. Salisbury St. Suite A, Asheboro, NC 27203 • 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
Modern Woodmen Of America Rock Island IL 03/2016 Present
Mwa Financial Services Inc Rock Island IL 02/2017 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-06-20
S63 Uniform Securities Agent State Law Examination 2017-03-21
  • S65 Uniform Investment Adviser Law Examination
    2024-06-20
  • S63 Uniform Securities Agent State Law Examination
    2017-03-21
Other Names
  • Caroline Danielle Stover
  • Caroline Stover Wright

View on SEC IAPD

Nearby Firms

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
LPL FINANCIAL LLC
GLOBAL RETIREMENT PARTNERS LLC

Nearby Investors

BRETT LEE THOMAS
JOSEPH GALE THOMAS
STEVE DEAN WILLIAMS

Nearby Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ASHEBORO, NC
LPL FINANCIAL LLC · ASHEBORO, NC
GLOBAL RETIREMENT PARTNERS LLC · Asheboro, NC

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