CAROLINE L HARRIS is an investment adviser representative (IAR) with state registration records since 2004, appearing at 2 firms. Currently registered with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
| Firm | From | To | Current |
|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2014-12-17 | present | Yes |
| UBS FINANCIAL SERVICES INC. | 2014-03-18 | 2014-12-11 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2009-07-13 | 2014-03-15 | — |
| UBS FINANCIAL SERVICES INC. | 2008-08-28 | 2009-07-23 | — |
| UBS FINANCIAL SERVICES INC. | 2004-01-16 | 2008-01-24 | — |