Caroline Palomeque
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Caroline Palomeque, who also goes by Caroline H Palomeque, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2015. Caroline had worked at 5 firms and has passed the Series 63, Series 87, Series 7TO, SIE, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2022 - November 24, 2023
BERENBERG CAPITAL MARKETS LLC
April 24, 2018 - May 28, 2019
MAXIM GROUP LLC
September 2, 2017 - April 12, 2018
NOBLE CAPITAL MARKETS, INC.
July 15, 2015 - April 17, 2017
WALLACHBETH CAPITAL LLC
February 16, 2015 - February 18, 2015
CITIZENS JMP SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/11/2022
General Securities Representative ExaminationCurrent Firm
BERENBERG CAPITAL MARKETS LLC
CRD#: 156757 / SEC#: , 8-68821
Contact information
FINRA licenses (14 States and Territories)
Documents
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.
