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Carolina Rojas

Carolina Rojas

Senior Registered Field Associate

For any service related client requests, Carolina is the team member to call. She is responsible for establishing, maintaining, and building client relationships. Her day-to-day activities include processing financial transactions, monitoring account activity, maintaining risk awareness and regulatory compliance, working on multi-custodial platforms and implementing portfolio changes as directed.

Fluent in three languages, Carolina serves as a dedicated resource for clients, advisors, and relationship managers on topics related to the client review process. She also provides knowledge and systems support to branch personnel and training for entry-level assistants.

Carolina holds a Bachelor of Business Administration degree from Florida International University and has a Series 6 Investment Company Products/Variable Contracts Representative (IR) license.

Carolina does not offer securities or investment advisory services.

Additional Credentials

  • Series 6 Investment Company Products/Variable Contracts Representative (IR) License