Caroline C. Gayle

KASSOUF WEALTH ADVISORS

Birmingham, AL 35205-4022

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CRD#: 5677308

Professional summary

Caroline Calton Gayle, who also goes by Caroline C Calton, Caroline Copeland Calton, Caroline Calton, is a registered financial advisor currently at KASSOUF WEALTH ADVISORS, LLC located in Birmingham, Alabama.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Caroline has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline C Calton | Caroline Copeland Calton | Caroline Calton

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) - RIA

Click below to view Caroline Calton Gayle'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®

None

Experience

Current

March 6, 2024 - Present

KASSOUF WEALTH ADVISORS, LLC

Office #1: 2101 Highland Avenue South Suite 650, Birmingham, AL 35205-4022

RIA

CRD#: 122683

Birmingham, AL

Past

August 28, 2019 - February 27, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Gadsden, AL

Past

July 7, 2015 - May 16, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BIRMINGHAM, AL

Past

March 3, 2011 - July 7, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

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".

KASSOUF WEALTH ADVISORS, LLC

KASSOUF WEALTH ADVISORS, LLC | SUMMIT WEALTH MANAGEMENT, LLC

CRD#: 122683 / SEC#: 801-67293

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

Alabama

Registered Investment Advisory firm - (1/9/2007 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

Alabama
(3/6/2024)

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

Series 63

Date: 7/5/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/2/2011

General Securities Representative Examination

Current Firm

KASSOUF WEALTH ADVISORS, LLC

KASSOUF WEALTH ADVISORS, LLC | SUMMIT WEALTH MANAGEMENT, LLC

CRD#: 122683 / SEC#: 801-67293

RIA

Registered Investment Advisory firm - (11/13/2006 Approved)

Alabama

Registered Investment Advisory firm - (1/9/2007 Terminated)

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Contact information

Main Address

2101 Highland Avenue South Suite 650, Birmingham, AL 35205-4022

Mailing Address

Phone number

(205) 776-0100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KASSOUF WEALTH ADVISORS, LLC DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	421
AUM (Assets Under Management)	$ 402,376,008

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/01/2024	Cover Page	Report
02/27/2023	Cover Page	Report

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 C. Gayle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caroline Calton Gayle's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STERNE, AGEE & LEACH, INC.

Primary Firm SEC Registration

KASSOUF WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/5/2012

SIE

Date: 10/1/2018

Series 7

Date: 3/2/2011

Current Firm

KASSOUF WEALTH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KASSOUF WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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