Caroline M. Peek
Professional summary
Caroline Merritt Peek, who also goes by Caroline Merritt Joyce, Caroline Joyce, Caroline M Peek, Caroline Peek-joyce, Caroline Merritt Peekjoyce, Caroline Peekjoyce, is a registered financial advisor currently at USA ASSET MANAGEMENT, LLC located in Charlotte, North Carolina.
Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Caroline has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Caroline Merritt Peek's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 30, 2017 - Present
USA ASSET MANAGEMENT, LLC
Office #1: 10800 Sikes Place Suite 205, Charlotte, NC 28277August 6, 2007 - December 31, 2016
USA ASSET MANAGEMENT, LLC
January 12, 2001 - October 16, 2002
USALLIANZ SECURITIES, INC.
August 4, 1998 - December 31, 1999
TOWER SQUARE SECURITIES, INC.
May 4, 1998 - July 20, 1998
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/30/2017)
Exams
Current Firm
USA ASSET MANAGEMENT, LLC
CRD#: 130946 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 31,703,026 |
Red Flags
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