Caroline Council
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 Council, who also goes by Caroline Elizabeth Council, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2022. Caroline had worked at 3 firms and has passed the Series 63, Series 87, Series 86, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2025 - May 7, 2026
M2O PRIVATE FUND ADVISORS LLC
February 13, 2024 - July 23, 2025
BARCLAYS CAPITAL INC.
October 31, 2022 - November 24, 2023
BERENBERG CAPITAL MARKETS 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
Series 7TO
Date: 10/31/2022
General Securities Representative ExaminationCurrent Firm
M2O PRIVATE FUND ADVISORS LLC
CRD#: 158741 / SEC#: , 8-68917
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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