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Caroline Elizabeth Wisniewski

P & M CORPORATE FINANCE

Denver, CO

·CRD# 1463513·40 years experience

Professional Summary

Caroline Elizabeth Wisniewski, who also goes by Caroline Elizabeth Pinholster, Carrie Pinholster, Carrie Wisniewski, is a registered financial advisor currently at P & M CORPORATE FINANCE, LLC located in Denver, Colorado and MERIDIAN INVESTMENTS, INC. located in Vienna, Virginia. Caroline is registered as a RR (Registered Representative) and started their career in finance in 1986. Caroline has worked at 24 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Caroline Elizabeth Pinholster, Carrie Pinholster, Carrie Wisniewski

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

P & M CORPORATE FINANCE, LLC·CRD# 129624

BD

8181 E Tufts Ave Suite 600, Denver, CO 80112

July 10, 2015 - Present

MERIDIAN INVESTMENTS, INC.·CRD# 13225

BD

8065 Leesburg Pike Suite 504, Vienna, VA 22182

March 4, 2026 - Present

CARTER CAPITAL CORPORATION·CRD# 23521

BD

99 Harbor Road The Tide Mill Building, Southport, CT 06890

March 6, 2026 - Present

MCDONALD PARTNERS LLC·CRD# 135414

BD

Cleveland, OH

May 13, 2024 - December 17, 2024

BA SECURITIES, LLC·CRD# 153489

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W. Conshohocken, PA

January 5, 2024 - December 31, 2025

ATB CAPITAL MARKETS USA INC.·CRD# 155053

BD

Norcross, GA

February 4, 2021 - August 31, 2023

FIRST BALLANTYNE, LLC·CRD# 125393

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Charlotte, NC

June 24, 2014 - July 10, 2014

OFS SECURITIES, INC.·CRD# 39615

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Hato Rey, PR

April 24, 2012 - October 1, 2012

FIRST BANK PUERTO RICO SECURITIES, CORP.·CRD# 150135

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Lilburn, GA

October 28, 2009 - October 1, 2018

PARITER SECURITIES, LLC·CRD# 127836

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Guaynabo, PR

October 20, 2008 - August 2, 2017

BRIDGE CAPITAL ASSOCIATES, INC.·CRD# 143475

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Cape Coral, FL

July 18, 2007 - January 8, 2024

VRA PARTNERS, LLC·CRD# 142780

BD

Atlanta, GA

May 18, 2007 - June 1, 2015

MAGNER SECURITIES, LLC·CRD# 129940

BD

Atlanta, GA

March 30, 2007 - January 5, 2016

STIRA CAPITAL MARKETS GROUP, LLC·CRD# 141277

BD

Irvine, CA

September 27, 2006 - March 17, 2011

DILWORTH SECURITIES, INC.·CRD# 134929

BD

Palm Harbor, FL

November 17, 2005 - May 29, 2009

ANKURA CAPITAL ADVISORS, LLC·CRD# 114155

BD

Atlanta, GA

April 1, 2005 - May 28, 2008

OFS SECURITIES, INC.·CRD# 39615

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Hato Rey, PR

February 10, 2005 - January 29, 2007

TCM CAPITAL, INC.·CRD# 129569

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San Juan, PR

April 28, 2004 - May 13, 2008

LIVE OAK CAPITAL SECURITIES, INC.·CRD# 112583

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Myrtle Beach, SC

October 24, 2002 - April 22, 2003

JACKSON SECURITIES LLC·CRD# 19897

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Atlanta, GA

July 10, 2000 - March 15, 2001

JGB INTERNATIONAL, INC.·CRD# 31770

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Atlanta, GA

July 10, 2000 - February 17, 2010

AIBC INVESTMENT SERVICES CORPORATION·CRD# 16397

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December 11, 1997 - April 1, 1998

JACKSON SECURITIES LLC·CRD# 19897

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Atlanta, GA

October 31, 1997 - November 4, 1998

THE CAMELOT GROUP, INC.·CRD# 31091

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Ft Lauderdale, FL

August 22, 1997 - September 4, 1997

WOODSTOCK FINANCIAL GROUP, INC.·CRD# 38095

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Woodstock, GA

May 9, 1995 - October 23, 2002

INVEST FINANCIAL CORPORATION·CRD# 12984

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March 19, 1986 - November 13, 1987

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Current Firm

CC

CARTER CAPITAL CORPORATION

CARTER & COMPANY | CARTER CAPITAL CORPORATION

CRD#: 23521 / SEC#: 8-40524

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

99 Harbor Road The Tide Mill Building, Southport, CT 06890

Mailing Address

99 Harbor Road The Tide Mill Building, Southport, CT 06890

Phone Number

(203) 203-0053

Established

Connecticut since 08/06/1987

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (11 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CARTER, MICHAEL RICHARD	PRESIDENT, CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR	1899687
GOODRICH, RAMSEY WOODWARD	OWNER, MANAGING DIRECTOR	2746028
HANNAFIN, TERENCE PATRICK	PARTNER & MANAGING DIRECTOR	3174779
WISNIEWSKI, CAROLINE ELIZABETH	FINOP	1463513

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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.

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State Registrations and Notice Filings

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

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Connecticut
(3/6/2026)

RR

Florida
(1/3/2018)

RR

Georgia
(7/13/2015)

RR

Illinois
(1/3/2018)

RR

Michigan
(7/13/2015)

RR

Ohio
(1/3/2018)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1996About the Series 63 exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2024About the Series 52TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1986About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 27 — Financial and Operations Principal Examination

Passed May 2019About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2000About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Jul 1998About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed May 1996About the Series 24 exam

Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination

Passed Apr 1995About the Series 28 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Caroline Elizabeth Wisniewski's CRS (Customer Relationship Summary).

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CW

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