Caroline L. Poulton
Professional summary
Caroline Lillian Poulton, who also goes by Caroline L Rogers, Caroline Rogers, Carrie Lillian Rogers, Caroline Lillian Rogers, is a registered financial professional currently at FORGE SECURITIES LLC located in San Francisco, California.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 2008. Caroline has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Caroline Lillian Poulton's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2019 - Present
FORGE SECURITIES LLC
Office #1: 4 Embarcadero Center Suite 1500, San Francisco, CA 94111October 17, 2017 - July 31, 2018
NEUBERGER BERMAN BD LLC
October 16, 2017 - July 31, 2018
NEUBERGER BERMAN BD LLC
December 19, 2008 - October 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2008 - October 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2019)
(1/3/2019)
(6/15/2023)
Exams
FINRA
Current Firm
FORGE SECURITIES LLC
CRD#: 134596 / SEC#: , 8-66846
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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