Caroline Novak has been an investment adviser representative at Sage Rhino Capital since December 2017, and is not listed among the firm’s executive officers or direct owners.
Sage Rhino Capital LLC is a Menlo Park, CA firm with $884M under management, 196 clients and 4 advisers in one office, as of its March 2026 filing.
Caroline Novak’s longest registration was 13 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2004–2018). Before joining Sage Rhino Capital in 2017, Caroline Novak was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley.
- Sage Rhino Capital LLCCurrent– present · 8 yearsMenlo Park, CA · Adviser representative · Firm CRD 290148
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 13 yearsMenlo Park, CA · Adviser representative · Firm CRD 7691
- Morgan Stanley– · 2 yearsSan Mateo, CA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
Caroline Novak is registered as an investment adviser representative in California, since December 2017.
- CaliforniaSince 15 December 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 2 November 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 17 October 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 2001 |
| Series 7 | General Securities Representative Examination | 4 October 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4445598
- Firm
- Sage Rhino Capital · CRD 290148
- Office
- 101 JEFFERSON DRIVE, Menlo Park, CA 94025
- Registration
- Investment adviser registration
- In the industry since
- October 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Caroline Novak work?
Caroline Novak is an investment adviser representative registered through Sage Rhino Capital LLC since December 2017, and is not listed among the firm’s executive officers or direct owners.
Is Caroline Novak a financial advisor?
Yes. Caroline Novak has a current investment-adviser registration in California, through Sage Rhino Capital since December 2017.
How many years of experience does Caroline Novak have?
Caroline Novak has 25 years in the financial industry, since October 2001, across 3 adviser firms.
What exams has Caroline Novak passed?
Caroline Novak has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in October 2001. FINRA credited Caroline Novak with the SIE, which began in October 2018.
Where did Caroline Novak work before Sage Rhino Capital?
Before Sage Rhino Capital, Caroline Novak was registered through Morgan Stanley, January 2002 to August 2004.
Where is Caroline Novak based?
Caroline Novak’s registered office is in Menlo Park, CA.
Is Caroline Novak registered with FINRA?
No. Caroline Novak has no current broker registration.
How can I verify Caroline Novak’s record?
Search CRD 4445598 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Caroline Novak’s full registration record.