Caroline Caldwell

BALENTINE

Atlanta, GA 30326

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CRD#: 7215051

Professional summary

Caroline Caldwell, who also goes by Caroline Anne Caldwell, is a registered financial advisor currently at BALENTINE located in Atlanta, Georgia.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Caroline has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caroline Anne Caldwell

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 Caldwell'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 3, 2025 - Present

BALENTINE

Office #1: 3344 Peachtree Road Ne Suite 2200, Atlanta, GA 30326

RIA

CRD#: 152511

Atlanta, GA

Past

January 18, 2023 - October 1, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

May 2, 2022 - October 1, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

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".

BALENTINE

BALENTINE | BALENTINE LLC

CRD#: 152511 / SEC#: 801-70910

RIA

Registered Investment Advisory firm - (12/14/2009 Approved)

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

Georgia
(3/3/2025)

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

IAR

Series 65

Date: 1/18/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/4/2022

Securities Industry Essentials Examination

Current Firm

BALENTINE

BALENTINE | BALENTINE LLC

CRD#: 152511 / SEC#: 801-70910

RIA

Registered Investment Advisory firm - (12/14/2009 Approved)

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Contact information

Main Address

3344 Peachtree Road Ne Suite 2200, Atlanta, GA 30326

Mailing Address

Phone number

(404) 537-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BALENTINE FORM ADV 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	3,796
AUM (Assets Under Management)	$ 5,295,516,500

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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Firm Stability Insights

Caroline Caldwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BALENTINE

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2023

Series 63

Date: 11/19/2022

Series 7TO

Date: 5/2/2022

SIE

Date: 3/4/2022

Current Firm

BALENTINE

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALENTINE

TRUST BUT VERIFY

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