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CW

Caroline E. Wisniewski

P & M CORPORATE FINANCE
Denver, CO 80112
Some features on this profile are disabled
CRD#: 1463513
CW
Caroline Elizabeth WisniewskiP & M CORPORATE FINANCE

Professional summary

Caroline Elizabeth Wisniewski, who also goes by Caroline Elizabeth Pinholster, Carrie Pinholster, Carrie Wisniewski, is a registered financial professional 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 7, Series 14, Series 27, Series 4, Series 53, Series 24 and Series 28 exams.

Aliases

Caroline Elizabeth Pinholster | Carrie Pinholster | Carrie Wisniewski

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caroline Elizabeth Wisniewski's 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

July 10, 2015 - Present

P & M CORPORATE FINANCE, LLC

Office #1: 8181 E Tufts Ave Suite 600, Denver, CO 80112
BD
CRD#: 129624
Denver, CO
Current

March 4, 2026 - Present

MERIDIAN INVESTMENTS, INC.

Office #1: 8065 Leesburg Pike Suite 504, Vienna, VA 22182
BD
CRD#: 13225
VIENNA, VA
Current

March 6, 2026 - Present

CARTER CAPITAL CORPORATION

Office #1: 99 Harbor Road The Tide Mill Building, Southport, CT 06890
BD
CRD#: 23521
SOUTHPORT, CT
Past

May 13, 2024 - December 17, 2024

MCDONALD PARTNERS LLC

BD
CRD#: 135414
CLEVELAND, OH
Past

January 5, 2024 - December 31, 2025

BA SECURITIES, LLC

BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past

February 4, 2021 - August 31, 2023

ATB CAPITAL MARKETS USA INC.

BD
CRD#: 155053
Norcross, GA
Past

June 24, 2014 - July 10, 2014

FIRST BALLANTYNE, LLC

BD
CRD#: 125393
CHARLOTTE, NC
Past

April 24, 2012 - October 1, 2012

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

October 28, 2009 - October 1, 2018

FIRST BANK PUERTO RICO SECURITIES, CORP.

BD
CRD#: 150135
Lilburn, GA
Past

October 20, 2008 - August 2, 2017

PARITER SECURITIES, LLC

BD
CRD#: 127836
GUAYNABO, PR
Past

July 18, 2007 - January 8, 2024

BRIDGE CAPITAL ASSOCIATES, INC.

BD
CRD#: 143475
Cape Coral, FL
Past

May 18, 2007 - June 1, 2015

VRA PARTNERS, LLC

BD
CRD#: 142780
ATLANTA, GA
Past

March 30, 2007 - January 5, 2016

MAGNER SECURITIES, LLC

BD
CRD#: 129940
ATLANTA, GA
Past

September 27, 2006 - March 17, 2011

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
IRVINE, CA
Past

November 17, 2005 - May 29, 2009

DILWORTH SECURITIES, INC.

BD
CRD#: 134929
PALM HARBOR, FL
Past

April 1, 2005 - May 28, 2008

ANKURA CAPITAL ADVISORS, LLC

BD
CRD#: 114155
ATLANTA, GA
Past

February 10, 2005 - January 29, 2007

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

April 28, 2004 - May 13, 2008

TCM CAPITAL, INC.

BD
CRD#: 129569
SAN JUAN, PR
Past

October 24, 2002 - April 22, 2003

LIVE OAK CAPITAL SECURITIES, INC.

BD
CRD#: 112583
MYRTLE BEACH, SC
Past

July 10, 2000 - March 15, 2001

JACKSON SECURITIES LLC

BD
CRD#: 19897
ATLANTA, GA
Past

July 10, 2000 - February 17, 2010

JGB INTERNATIONAL, INC.

BD
CRD#: 31770
ATLANTA, GA
Past

December 11, 1997 - April 1, 1998

AIBC INVESTMENT SERVICES CORPORATION

BD
CRD#: 16397
Past

October 31, 1997 - November 4, 1998

JACKSON SECURITIES LLC

BD
CRD#: 19897
ATLANTA, GA
Past

August 22, 1997 - September 4, 1997

THE CAMELOT GROUP, INC.

BD
CRD#: 31091
FT LAUDERDALE, FL
Past

May 9, 1995 - October 23, 2002

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

March 19, 1986 - November 13, 1987

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

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

State Security Law Exam
RR
Series 63
Date: 5/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/5/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/30/2019
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/8/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/3/1998
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/1996
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/19/1995
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

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)
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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
# of Employees

FINRA licenses (11 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CARTER, MICHAEL RICHARDPRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, MANAGING PARTNER1899687
GOODRICH, RAMSEY WOODWARDOWNER, MANAGING PARTNER2746028
HANNAFIN, TERENCE PATRICKPARTNER & MANAGING DIRECTOR3174779

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.

Company Information

CARTER CAPITAL CORPORATION

CRD#: 23521Denver, CO 80112

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