Caroline Novak, financial advisor Menlo Park CA
58 score

Caroline Novak

CRD Number: 4445598
Current Firm: Sage Rhino Capital LLC

Caroline Novak (CRD# 4445598) is an Investment Advisor Representative working at Sage Rhino Capital LLC in Menlo Park, CA and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Sage Rhino Capital, LLC Menlo Park, CA Dec 2017 - Current < 1
Bank Of America,n.a. Menlo Park, CA Jun 2011 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Menlo Park, CA Jul 2004 - Dec 2017 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2001
S65 NASAA Investment Advisors Law Examination Oct 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Caroline Novak
Phone Number: (650) 352-5600
Firm Website: http://www.sagerhino.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    184
    MILLIONS
  • Total Number of Accounts
    350
    ACCOUNTS
  • Average Account Value
    $525,632
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA

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BADGES
58

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