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Caroline A Digregorio

Other Names: Caroline A Posthumus
Firm:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Type: Dual Registration
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Description

Caroline Digregorio a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Caroline has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Caroline A Digregorio has not answered any questions on Financial Q&A.

Top Guides

Caroline A Digregorio has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations
Other Pooled Investment Vehicles
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 8 years, 10 months Jul 2004 - Present
Ranstad 6 months Jan 2004 - Jul 2004
International House 4 months Sep 2003 - Jan 2004
Mml Investors Services 5 months Apr 2003 - Sep 2003
Mass Mutual 5 months Apr 2003 - Sep 2003
Merrill Lynch, Pierce, Fenner and Smith Inc. 2 years, 6 months Sep 2000 - Mar 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/28/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/28/2012
09/27/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 02/09/2006
General Securities Representative Examination Series 7 07/02/2002

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions