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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

CAROLYN SMITH LINK

Advisor at CHARLES SCHWAB & CO., INC.

Chesterfield, MO

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Search this name across graphsid dfx:ria:ce57e4ce-11f5-7669-ae4e-63f4b9b193b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Oct 31, 1995 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 13, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 13, 1985
First registration: Oct 31, 1995
Dual registered: yes, broker-dealer
Other names: CAROLYN SMITHLINK|LINK CAROLYN SMITH|LINK CAROLYN SMITH|CAROLYN ROSE SMITH|LINK SMITH|CAROLYN SMITHLINK|CAROL SMITH LINK
IAPD individual key: 1347030

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 4, 2026	n/a	yes	Chesterfield, MO	Current employment
&partners	Independent wealth	May 21, 2025	Jul 31, 2026	no	Clayton, MO\|Saint Louis, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 22, 2011	May 7, 2025	no	ST. LOUIS, MO\|ST. LOUIS, MO\|CHARLOTTE, NC\|ST. LOUIS, MO\|CHARLOTTE, NC\|St. Louis, MO\|ST. LOUIS, MO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 22, 2011	May 8, 2025	no	ST. LOUIS, MO\|ST. LOUIS, MO\|ST. LOUIS, MO	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 28, 2005	Jan 23, 2009	no	SPRINGFIELD, MA\|SPRINGFIELD, MA\|ST. LOUIS, MO	Previous registration
METLIFE INVESTMENT FUND SERVICES LLC	n/a	Oct 31, 1995	Jan 10, 2006	no	ALPHARETTA , GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
&partners	CHARLES SCHWAB & CO., INC.	Jul 31, 2026	Sep 4, 2026	35	Firm change	RIA to ibd
WELLS FARGO ADVISORS	&partners	May 8, 2025	May 21, 2025	13	Firm change	Wirehouse to RIA
WELLS FARGO ADVISORS	WELLS FARGO ADVISORS	May 7, 2025	Jun 22, 2011	-5,068	Channel change	Wirehouse to wirehouse
MSI FINANCIAL SERVICES, INC.	WELLS FARGO ADVISORS	Jan 23, 2009	Jun 22, 2011	880	Firm change after gap	Other
METLIFE INVESTMENT FUND SERVICES LLC	MSI FINANCIAL SERVICES, INC.	Jan 10, 2006	Nov 28, 2005	-43	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:11025:MO:2025-05-07	May 7, 2025	Jun 22, 2011	ST LOUIS, MO	Firm change after gap

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Sep 4, 2026 to presentfactForm ADV
→ &PARTNERSRegistered adviserregistration: previous registration
May 21, 2025 to Jul 31, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 22, 2011 to May 8, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 22, 2011 to May 7, 2025factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 28, 2005 to Jan 23, 2009factForm ADV
→ METLIFE INVESTMENT FUND SERVICES LLCRegistered adviserregistration: previous registration
Oct 31, 1995 to Jan 10, 2006factForm ADV

Dated events

Occurred
Jul 31, 2026
Advisor changed firm
Carolyn Smith Link left &Partners for Charles Schwab & Co., Inc. (registered 2026-09-04)
Form ADVobserved 3 days ago
Occurred
May 8, 2025
Advisor changed firm
Carolyn Smith Link left Wells Fargo Advisors for &Partners (registered 2025-05-21)
Form ADVobserved 3 days ago