Caroline Grasso Moore
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Bank of America N.A.Mar 2024 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 2024 to now
- US National Whitewater CenterAug 2021 to Oct 2021
- Wells Fargo Clearing Services LLCMar 2021 to Feb 2024
- US Tech SolutionsMar 2021 to Jul 2021
- TranzactSep 2020 to Mar 2021
- SummitAug 2020 to Sep 2020
- North Carolina State UniversityAug 2019 to Jul 2020
- Terrace Dining Room At North Carolina State UniversitySep 2015 to Jul 2020
Exams passed
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 2 states (NC, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7364703
- Firm CRD
- 7691