Carol Marlowe, financial advisor Wellesley MA
93 score

Carol Marlowe

CRD Number: 5564951
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Carol Marlowe (CRD# 5564951) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wellesley, MA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Wellesley, MA Nov 2011 - Current 5
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wellesley, MA Aug 2011 - Current 5
Citigroup Global Markets Stamford, CT Oct 2008 - Aug 2011 2
Metlife Securities Inc. Shelton, CT Jul 2008 - Sep 2008 < 1
Unemployed West Norwalk, CT Dec 2007 - Jul 2008 < 1
Rail Europe Group White Plains, NY Aug 1995 - Dec 2007 12
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2008
Contact Info for Carol J. Marlowe
Phone Number: 800-637-7455
Registered State(s):
  • CT
  • TX
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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