Caroline A. Schulte
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 Ann Schulte, who also goes by Caroline A Schulte, Caroline Schulte, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2014. Caroline had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2015 - April 18, 2018
PARK HILL GROUP LLC
August 12, 2014 - May 4, 2015
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK HILL GROUP LLC
CRD#: 135898 / SEC#: , 8-66958
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHG HOLDINGS L.L.C. | SOLE OWNER/MEMBER | |
| FIGUR, DAVID CARL | MANAGING DIRECTOR/FINANCIAL AND OPERATIONS PRINCIPAL | 5127533 |
| FLANAGAN, TARA ELIZABETH | CHIEF COMPLIANCE OFFICER | 2540823 |
| LEE, JIYEUN | DIRECTOR | 1859635 |
| LEVINE, BRIAN D | CHIEF EXECUTIVE OFFICER, DIRECTOR AND PRINCIPAL | 2861011 |
| MEATES, HELEN THERESE | CHIEF FINANCIAL OFFICER/DIRECTOR | 2271715 |
| TAUBMAN, PAUL JEFFREY | DIRECTOR | 1567776 |
Red Flags
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