AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CC

Caroline V. Corner

ICR CAPITAL LLC
Norwalk, CT 06851-1080
Some features on this profile are disabled
CRD#: 4907886
CC

Professional summary

Caroline Victoria Corner is a registered financial professional currently at ICR CAPITAL LLC located in Norwalk, Connecticut.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2005. Caroline has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caroline Victoria Corner'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®
None

Experience

Current

May 31, 2019 - Present

ICR CAPITAL LLC

Office #1: 761 Main Avenue, Norwalk, CT 06851-1080
BD
CRD#: 174952
Norwalk, CT
Past

September 27, 2016 - April 24, 2019

CFG CAPITAL MARKETS, LLC

BD
CRD#: 39468
BALTIMORE, MD
Past

September 22, 2014 - April 8, 2016

CANTOR FITZGERALD & CO.

BD
CRD#: 134
SAN FRANCISCO, CA
Past

February 16, 2011 - June 28, 2012

MLV & CO. LLC

BD
CRD#: 150959
SAN FRANCISCO, CA
Past

March 4, 2010 - February 9, 2011

WM SMITH & CO.

BD
CRD#: 30777
GREENWOOD VILLAGE, CO
Past

November 2, 2007 - June 5, 2008

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
SAN FRANCISCO, CA
Past

July 1, 2005 - November 13, 2007

MONTGOMERY & CO., LLC

BD
CRD#: 42300
SAN FRANCISCO, CA
Past

April 28, 2005 - June 27, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(6/13/2019)
RR
Connecticut
(6/14/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/1/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 6/24/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 5/27/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/27/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/2/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IC
ICR CAPITAL LLC
ICR CAPITAL LLC

CRD#: 174952 / SEC#: , 8-69583

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
761 Main Avenue, Norwalk, CT 06851-1080
Mailing Address
761 Main Avenue, Norwalk, CT 06851-1080
Phone number
(203) 682-8200
Established
Connecticut since 12/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLUE POINT INTERMEDIATE, LLCSOLE MEMBER
GRAY, BENJAMIN NMNCCO1946982
GRIMM, LINDA STEINMANNFINOP/PFO/POO1970620
MCDONALD, DOUGLAS JCEO6034863

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.

Company Information

ICR CAPITAL LLC

CRD#: 174952Norwalk, CT 06851-1080

TRUST BUT VERIFY

Monitor Caroline Corner

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.