Carolyn Anderson is a registered investment advisor, based in Denver, CO, with 15 years of industry experience.
Location
717 17th Street, Suite 1850, Denver, CO, 80202
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Pma Securities, LLC
November 2025 - Present · 5 mos
Ptma Investment Advisors
November 2025 - Present · 5 mos
Pma Securities, LLCBroker
November 2025 - Present · 5 mos
Previous Registrations
Commerce Street Capital, LLCBroker
November 2023 - October 2025 · 1 yr 11 mos
Iberia Asset Management, INC.
September 2014 - February 2015 · 5 mos
First Private Wealth Management, INC.
August 2009 - April 2015 · 5 yrs 8 mos
Ust Securities CORP.Broker
June 2006 - April 2007 · 10 mos
Banc of America Investment Services, INC.
June 2003 - May 2005 · 1 yr 11 mos
Banc of America Investment Services, INC.Broker
October 1998 - May 2005 · 6 yrs 7 mos
State Registrations4 states
COIAMOPA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.