Carol A. Mccollister

MARIN WEALTH ADVISORS LLC

NOVATO, CA 94949

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CRD#: 1101419

Professional summary

Carol Ann Mccollister, who also goes by Carol Ann Weiner, is a registered financial advisor currently at MARIN WEALTH ADVISORS LLC located in Novato, California.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Carol has worked at 3 firms and has passed the Series 65, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Ann Weiner

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.

Occasional financial counseling services to select private clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Mccollister's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 23, 2022 - Present

MARIN WEALTH ADVISORS LLC

Office #1: 371 Bel Marin Keys Blvd. Suite 135, Novato, CA 94949

RIA

CRD#: 123237

NOVATO, CA

Past

February 1, 2017 - December 31, 2021

MARIN WEALTH ADVISORS LLC

RIA

CRD#: 123237

SAN RAFAEL, CA

Past

February 22, 2005 - February 21, 2017

EXECUTIVE INVESTMENT ADVISORS, LLC

RIA

CRD#: 131201

SAN RAFAEL, CA

Past

April 26, 1983 - January 24, 1990

IMF SECURITIES CORPORATION

CRD#: 13290

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".

MARIN WEALTH ADVISORS LLC

HUNTER JR, ROBERT CHARLES | ROBERT HUNTER | ROBERT C. HUNTER | MARIN WEALTH ADVISORS LLC

CRD#: 123237 / SEC#: 801-113162

RIA

Registered Investment Advisory firm - (6/8/2018 Approved)

California

Registered Investment Advisory firm - (7/15/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/23/2022)

IAR

Texas
(2/24/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 22

Date: 4/25/1983

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 39

Date: 5/2/1983

Direct Participation Programs Principal Examination

Current Firm

MARIN WEALTH ADVISORS LLC

HUNTER JR, ROBERT CHARLES | ROBERT HUNTER | ROBERT C. HUNTER | MARIN WEALTH ADVISORS LLC

CRD#: 123237 / SEC#: 801-113162

RIA

Registered Investment Advisory firm - (6/8/2018 Approved)

California

Registered Investment Advisory firm - (7/15/2018 Terminated)

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Contact information

Main Address

371 Bel Marin Keys Blvd. Suite 135, Novato, CA 94949

Mailing Address

Phone number

(415) 458-5880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARIN WEALTH ADVISORS - ADV 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	938
AUM (Assets Under Management)	$ 356,959,178

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.

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Carol A. Mccollister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Mccollister's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARIN WEALTH ADVISORS LLC

MARIN WEALTH ADVISORS LLC

EXECUTIVE INVESTMENT ADVISORS, LLC

IMF SECURITIES CORPORATION

Primary Firm SEC Registration

MARIN WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2005

Series 22

Date: 4/25/1983

Series 39

Date: 5/2/1983

Current Firm

MARIN WEALTH ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARIN WEALTH ADVISORS LLC

TRUST BUT VERIFY

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