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Caroline Julia Buigas

Caroline J. Buigas

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CRD#: 7321589
Caroline Julia Buigas

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 Julia Buigas, who also goes by Caroline Julia Buigas, Caroline Buigas, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 2021. Caroline had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Biography

I aim to work side by side with clients to help them work toward financial success through thoughtful discussion. We will determine a wholistic view of their goals and investment style leading to a living plan for retirement and beyond.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline Julia Buigas | Caroline Buigas

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.
OBA-96722|OrgNmn:Rover|Org Addr:New York,New York,US|OBA Nature:Dog walking|Invst Rel:N|Title:Dog walker|Duties:Walking dogs and dog sitting on occasion|StrtDt:|TotHrs/mon:10|TrdHrs/mon:0|OBA-101971|OrgNmn:JoySeed|Org Addr:New York,New York,US|OBA Nature:Journal PDFs I am making|Invst Rel:N|Title:Shop owner|Duties:Creating PDF Journals|StrtDt:|TotHrs/mon:5|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Education

Bentley University

Bachelor of Science (BS) - Finance

2020

Experience

Past

March 23, 2022 - March 13, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
NEW YORK, NY
Past

March 22, 2022 - March 13, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW YORK, NY
Past

May 11, 2021 - March 25, 2022

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

March 29, 2021 - March 25, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/10/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/8/2021
Securities Industry Essentials Examination

Current Firm

FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS | FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC

CRD#: 288590 / SEC#: 801-112027

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Contact information

Main Address
245 Summer Street, V2a, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
15,424

Documents

Latest Form ADV

Part 2 Brochures

FIDELITY WEALTH ADVISOR SOLUTIONS (11/15/2024)
FPWA FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/28/2024)
FPWA FIDELITY GO (3/28/2024)
FPWA FIDELITY MANAGED FIDFOLIOS (3/28/2024)
FPWA FIDELITY STRATEGIC DISCIPLINES (3/28/2024)
FPWA FIDELITY WEALTH SERVICES (3/28/2024)

Regulatory assets under management

Total Number of Accounts1,991,043
AUM (Assets Under Management)$ 818,776,100,963

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/22/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/06/2023
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.

Company Information

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Planning ConsultantCRD#: 288590

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