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