CW
Caroline L. Wieand
CORNERSTONE ADVISORS ASSET MANAGEMENT
Bethlehem, PA 18018
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CRD#: 4131472
CW
Professional summary
Caroline L Wieand, who also goes by Caroline Lynne Bowne, Caroline Lynn Bowne Wieand, Caroline Lynne Bowne Wieand, Caroline L. Wieand, is a registered financial advisor currently at CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC located in Bethlehem, Pennsylvania and M HOLDINGS SECURITIES, INC. located in Bethlehem, Pennsylvania.
Caroline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Caroline has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caroline Lynne Bowne | Caroline Lynn Bowne Wieand | Caroline Lynne Bowne Wieand | Caroline L. Wieand
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) M Holdings Securities, Inc.; Bethlehem, PA; Broker Dealer; Investment-Related; Registered Representative; duties include client service; started 5/2021; 5% of time; 5% of time during trading hours (2) Cornerstone Advisors Asset Management, LLC; 74 W Broad St, Ste 340, Bethlehem, PA 18018-5701; Advisory; Investment-Related; Investment Adviser Representative; Client Services; 05/2021; 160 hours per month; 160 hours per month during trading hours (3) Cornerstone Institutional Investors, LLC; 74 W Broad St, Ste 340, Bethlehem, PA 18018-5701; Member Firm Affiliation; Investment-Related; Investment Operations Associate; Client Service; 05/2021; 160 hours per month; 160 hours per month during trading hours (4) Cornerstone Benefits, Inc.; 74 W Broad St, Ste 340, Bethlehem, PA 18018-5701; Parent company of Cornerstone Institutional Investors, LLC and Cornerstone Advisors Asset Management, LLC; Investment-Related; Investment Operations Associate; Client Service; 05/2021; 160 hours per month; 160 hours per month during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Caroline L Wieand's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 7, 2021 - Present
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
Office #1: 74 West Broad Street, Suite 340, Bethlehem, PA 18018RIA
CRD#: 138638
Bethlehem, PA
Current
July 1, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 74 West Broad Street Suite 340, Bethlehem, PA 18018RIA
BD
CRD#: 43285
Bethlehem, PA
Past
November 17, 2015 - May 20, 2021
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
Bethlehem, PA
Past
July 17, 2015 - May 20, 2021
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
Bethlehem, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.
CRD#: 138638 / SEC#: 801-65091
RIA
Registered Investment Advisory firm - (1/4/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(7/1/2021)
IAR
Pennsylvania(7/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CAAM ACQUISITION CO., INC. | CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC | CORNERSTONE ADVISORS ASSET MANAGEMENT INC.
CRD#: 138638 / SEC#: 801-65091
RIA
Registered Investment Advisory firm - (1/4/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
74 West Broad Street, Suite 340, Bethlehem, PA 18018
Mailing Address
Phone number
(610) 694-0900
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,841 |
| AUM (Assets Under Management) | $ 8,299,028,636 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC
CRD#: 138638Bethlehem, PA 18018TRUST BUT VERIFY
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