CM
Carolyn R. May
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CRD#: 1031926
CM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carolyn Reardon May, who also goes by Carolyn Elisabeth Reardon, Carolyn Elizabeth Reardon, Carolyn E Sparks, Carolyn Elizabeth Sparks, Carolyn R Sparks, Carolyn Sparks, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1982. Carolyn had worked at 23 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carolyn Elisabeth Reardon | Carolyn Elizabeth Reardon | Carolyn E Sparks | Carolyn Elizabeth Sparks | Carolyn R Sparks | Carolyn Sparks
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 5, 2017 - December 14, 2018
&PARTNERS
BD
CRD#: 3767
NASHVILLE, TN
Past
August 31, 2015 - February 2, 2017
SMITH, BROWN & GROOVER, INC.
BD
CRD#: 1329
MACON, GA
Past
November 25, 2014 - June 29, 2015
SIMMONS FIRST INVESTMENT GROUP, INC.
BD
CRD#: 47439
LITTLE ROCK, AR
Past
September 23, 2009 - November 23, 2009
THE HUTCHISON COMPANY
BD
CRD#: 149422
DURHAM, NC
Past
August 23, 2007 - July 14, 2008
ICBA FINANCIAL SERVICES CORPORATION
BD
CRD#: 35089
MEMPHIS, TN
Past
January 5, 2005 - December 2, 2014
SIMMONS FIRST INVESTMENT GROUP, INC.
BD
CRD#: 130710
LITTLE ROCK, AR
Past
August 23, 2002 - February 3, 2003
SLATER & COMPANY SECURITIES, INC.
BD
CRD#: 18886
MEMPHIS, TN
Past
April 1, 2002 - July 1, 2002
SLATER & COMPANY SECURITIES, INC.
BD
CRD#: 18886
MEMPHIS, TN
Past
June 5, 2001 - January 3, 2005
D. BORAL CAPITAL
BD
CRD#: 103792
NEW YORK, NY
Past
June 7, 2000 - March 8, 2001
D. BORAL CAPITAL
BD
CRD#: 103792
NEW YORK, NY
Past
September 17, 1999 - August 24, 2000
SIMMONS FIRST INVESTMENT GROUP, INC.
BD
CRD#: 47439
LITTLE ROCK, AR
Past
April 16, 1999 - December 2, 1999
HUTCHINSON/IFRAH, INC.
BD
CRD#: 46568
LITTLE ROCK, AR
Past
May 18, 1998 - May 22, 1998
R. H. YORK & COMPANY, INC.
BD
CRD#: 30099
COVINGTON, KY
Past
April 24, 1998 - January 18, 2000
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
MEMPHIS, TN
Past
April 24, 1998 - April 19, 2001
HIGHGATE, INC.
BD
CRD#: 44272
LITTLE ROCK, AR
Past
June 16, 1997 - April 30, 2002
LIEBLONG & ASSOCIATES, INC.
BD
CRD#: 42578
LITTLE ROCK, AR
Past
June 14, 1996 - October 30, 1996
WEEMS & COMPANY, INC.
BD
CRD#: 30814
LITTLE ROCK, AR
Past
October 25, 1993 - April 26, 2005
THE STRATEGIC ALLIANCE CORPORATION
BD
CRD#: 32788
ALBEMARLE, NC
Past
October 8, 1992 - December 14, 1992
POWELL & SATTERFIELD, INC.
BD
CRD#: 7030
LITTLE ROCK, AR
Past
May 29, 1991 - December 24, 1991
BOND-GAMMILL INVESTMENTS, INC.
BD
CRD#: 25067
LITTLE ROCK, AR
Past
August 9, 1990 - November 2, 1995
HIGHGATE, INC.
BD
CRD#: 26226
Past
December 3, 1985 - June 12, 1989
J.D. MICHAEL AND CO.
BD
CRD#: 14990
Past
December 27, 1983 - August 7, 1986
PARK, RYAN, INC.
BD
CRD#: 7154
Past
October 28, 1983 - October 21, 1985
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
January 10, 1983 - December 27, 1983
PARK, RYAN OF TENNESSEE, INC.
BD
CRD#: 3064
Past
June 7, 1982 - September 21, 1983
PARK, RYAN, INC.
BD
CRD#: 7154
Past
March 12, 1982 - June 10, 1982
BRITTENUM & ASSOCIATES, INC.
BD
CRD#: 7179
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
&PARTNERS
&PARTNERS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THIRD COAST WEALTH PLANNING | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LANG INVESTMENT GROUP | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HARVEST POINT WEALTH ADVISORS | GUIDENT WEALTH MANAGEMENT | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CANYON RIVER WEALTH PLANNING | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | APRICITY ADVISOR | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Mailing Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Phone number
(615) 255-6431
Established
Tennessee since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
475
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPERSAND PARTNERS, LLC | OWNER | |
| ALEXANDER, JOHN W | CO-PRESIDENT | 2327561 |
| COOPER, CHYRLAN ELIZABETH | COO | 4160240 |
| IDOL, KALEY PORTER | CHIEF COMPLIANCE OFFICER | 6950052 |
| KOWACH, DAVID JOHN | CEO | 2154665 |
| NELSON, RICHARD SCOTT | CFO | 5014790 |
| SCHALLER, MICHAEL CHRISTOPHER | CONTROLLER/FINOP | 5899085 |
| STEVENS, ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | 5451096 |
| WILEY III, DAVID WARREN III | CO-PRESIDENT | 720094 |
Regulatory assets under management
| Total Number of Accounts | 32,200 |
| AUM (Assets Under Management) | $ 14,146,591,395 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 | ||
| 12/29/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
