Unclaimed Profile

Caroline P Galbraith

HAWSGOODWIN INVESTMENT MANAGEMENT, LLC·FRANKLIN, Tennessee

SIE, Series 7, Series 66CFP21 years registeredHAWSGOODWIN INVESTMENT MANAGEMENT, LLC

231 PUBLIC SQUARE, FRANKLIN, TN 37064CRD# 4844641Firm CRD# 165771

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Caroline P Galbraith · FRANKLIN, TN

Registration

CRD #4844641 · HAWSGOODWIN INVESTMENT MANAGEMENT, LLC · 21 years registered

Brand Profile

Not yet started

Career History

APRIO WEALTH MANAGEMENT, LLC

May 2022 – present

MERCER GLOBAL ADVISORS INC.

Feb 2022 – Apr 2022

Franklin, TN

HAWSGOODWIN WEALTH

May 2015 – May 2022

FRANKLIN, TN

SUNTRUST INVESTMENT SERVICES, INC.

Feb 2007 – May 2015

BRENTWOOD, TN

MERRILL LYNCH PIERCE FENNER & SMITH INC.

Oct 2004 – Feb 2007

BRENTWOOD, TN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · October 28, 2004

Years registered · 21

Professional designation · CFP

Disclosure History

2015Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

HAWSGOODWIN INVESTMENT MANAGEMENT, LLC

CRD 165771 · SEC 801-79585

Employees

Total firm employees

Services offered by HAWSGOODWIN INVESTMENT MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HAWSGOODWIN INVESTMENT MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Caroline P Galbraith offer?

Caroline P Galbraith specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in FRANKLIN, Tennessee for a consultation.

What are Caroline P Galbraith's credentials?

Caroline P Galbraith holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Caroline P Galbraith located?

Caroline P Galbraith is based in FRANKLIN, Tennessee, working with HAWSGOODWIN INVESTMENT MANAGEMENT, LLC. Their office serves clients in the FRANKLIN metropolitan area and surrounding communities.

How does Caroline P Galbraith charge for services?

Caroline P Galbraith's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HAWSGOODWIN INVESTMENT MANAGEMENT, LLC?

HAWSGOODWIN INVESTMENT MANAGEMENT, LLC has approximately 7 employees. The firm is registered with the SEC as an investment adviser.

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