Caroline P. Dougher

APRIO WEALTH MANAGEMENT

NASHVILLE, TN 37215

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CRD#: 4844641

Professional summary

Caroline Paun Dougher, CFP®, CPWA®, who also goes by Caroline P Galbraith, Caroline Paun Galbraith, Caroline Paun Graves, is a registered financial advisor currently at APRIO WEALTH MANAGEMENT, LLC located in Nashville, Tennessee.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Caroline has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline P Galbraith | Caroline Paun Galbraith | Caroline Paun Graves

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.

APRIO RISK MANAGEMENT, LLC; POSITION: AGENT; NATURE: INSURANCE SALES; INVESTMENT RELATED: NO; NUMBER OF HOURS: AS NEEDED; START DATE: 8/2022; ADDRESS: 2002 SUMMIT BLVD, STE. 120 ATLANTA, GA 30319; DESCRIPTION: SALES OF VARIOUS INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Paun Dougher's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2013

CPWA^®

Certified Private Wealth Advisor

Start date: 2020-08-03

Expire date: 2024-07-31

Experience

Current

May 2, 2022 - Present

APRIO WEALTH MANAGEMENT, LLC

Office #1: 4235 Hillsboro Pike # 100, Nashville, TN 37215

RIA

CRD#: 127333

NASHVILLE, TN

Past

February 17, 2022 - April 26, 2022

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Franklin, TN

Past

May 20, 2015 - May 5, 2022

HAWSGOODWIN WEALTH

RIA

CRD#: 165771

FRANKLIN, TN

Past

May 8, 2015 - November 8, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

FRANKLIN, TN

Past

February 22, 2007 - May 13, 2015

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

BRENTWOOD, TN

Past

February 22, 2007 - May 13, 2015

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BRENTWOOD, TN

Past

October 28, 2004 - February 1, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BRENTWOOD, TN

Past

October 14, 2004 - February 1, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BRENTWOOD, TN

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".

APRIO WEALTH MANAGEMENT, LLC

APRIO WEALTH MANAGEMENT, LLC | TEGRA FINANCIAL PARTNERS | HA&W WEALTH MANAGEMENT, LLC

CRD#: 127333 / SEC#: 801-63326

RIA

Registered Investment Advisory firm - (7/9/2004 Approved)

Georgia

Registered Investment Advisory firm - (7/16/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(5/2/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/26/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2004

General Securities Representative Examination

Current Firm

APRIO WEALTH MANAGEMENT, LLC

APRIO WEALTH MANAGEMENT, LLC | TEGRA FINANCIAL PARTNERS | HA&W WEALTH MANAGEMENT, LLC

CRD#: 127333 / SEC#: 801-63326

RIA

Registered Investment Advisory firm - (7/9/2004 Approved)

Georgia

Registered Investment Advisory firm - (7/16/2004 Terminated)

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Contact information

Main Address

2002 Summit Boulevard Suite 120, Atlanta, GA 30319

Mailing Address

Phone number

(404) 892-9651

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APRIO WEALTH MANAGEMENT FORM ADV PART 2A (11/5/2025)

Regulatory assets under management

Total Number of Accounts	2,269
AUM (Assets Under Management)	$ 2,635,136,991

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Caroline P. Dougher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Paun Dougher's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCER GLOBAL ADVISORS INC.

HAWSGOODWIN WEALTH

PURSHE KAPLAN STERLING INVESTMENTS

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

APRIO WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2004

SIE

Date: 11/8/2016

Series 7

Date: 10/12/2004

Current Firm

APRIO WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APRIO WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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