Caroline J. Zimmer

ANGELES WEALTH MANAGEMENT

Santa Monica, CA 90401

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CRD#: 7485231

Professional summary

Caroline Julia Zimmer is a registered financial advisor currently at ANGELES WEALTH MANAGEMENT, LLC located in Santa Monica, California.

Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Caroline has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Julia Zimmer'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

June 18, 2025 - Present

ANGELES WEALTH MANAGEMENT, LLC

Office #1: 429 Santa Monica Blvd Suite 650, Santa Monica, CA 90401

RIA

CRD#: 159952

Santa Monica, CA

Past

January 24, 2024 - March 15, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

BEVERLY HILLS, CA

Past

December 18, 2023 - March 15, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

BEVERLY HILLS, CA

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".

ANGELES WEALTH MANAGEMENT, LLC

CRD#: 159952 / SEC#: 801-72992

RIA

Registered Investment Advisory firm - (1/3/2012 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

California
(6/18/2025)

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 66

Date: 1/22/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/18/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/29/2023

Securities Industry Essentials Examination

Current Firm

ANGELES WEALTH MANAGEMENT, LLC

CRD#: 159952 / SEC#: 801-72992

RIA

Registered Investment Advisory firm - (1/3/2012 Approved)

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Contact information

Main Address

429 Santa Monica Blvd Suite 650, Santa Monica, CA 90401

Mailing Address

Phone number

(310) 393-6300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 AWM ANNUAL AMENDMENT ADV 2A_FINAL (3/27/2025)

Regulatory assets under management

Total Number of Accounts	178
AUM (Assets Under Management)	$ 2,271,897,955

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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Caroline J. Zimmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ANGELES WEALTH MANAGEMENT, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

ANGELES WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2024

Series 7TO

Date: 12/18/2023

SIE

Date: 9/29/2023

Current Firm

ANGELES WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANGELES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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