Carol Winn, financial advisor Naples FL
93 score

Carol Winn

CRD Number: 1288191
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carol Winn (CRD# 1288191) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Naples, FL and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a Westborough, MA Sep 2009 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Westborough, MA Aug 2007 - Current 9
Morgan Stanley & Company, Incorporated Westborough, MA Apr 2007 - Aug 2007 < 1
Morgan Stanley Dean Witter Westborough, MA Oct 1999 - Apr 2007 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1984
S65 NASAA Investment Advisors Law Examination Dec 2000
Contact Info for Carol A. Winn
Phone Number: 800-637-7455
Registered State(s):
  • CT
  • TX
  • FL
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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