Caroline M Gillis
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
20 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
20 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2025 to now
- UnemployedMay 2024 to Dec 2024
- Dalhousie UniversitySep 2023 to Apr 2024
- Bank of MontrealMay 2023 to Aug 2023
- Dalhousie UniversityJan 2023 to Apr 2023
- Bank of MontrealSep 2022 to Dec 2022
- Dalhousie UniversityMay 2022 to Aug 2022
- Bank of MontrealJan 2022 to Apr 2022
- Dalhousie UniversitySep 2020 to Dec 2021
- Class AfloatSep 2019 to Apr 2020
- Duxbury Bay Maritime SchoolJun 2017 to Dec 2024
- Norwell Public SchoolsSep 2006 to May 2019
Exams passed
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 2 states (CT, 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
- 8028021
- Firm CRD
- 7691