Carl G. Bulgini

FENWICK INVESTMENTS

WHITE RIVER JUNCTION, VT 05001

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CRD#: 2018571

Professional summary

Carl George Bulgini III, CFP® is a registered financial advisor currently at FENWICK INVESTMENTS, LLC located in White River Junction, Vermont.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Carl has worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Investment Planning

Estate Planning

Comprehensive Financial Planni...

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Carl George Bulgini III'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

April 10, 2013 - Present

FENWICK INVESTMENTS, LLC

Office #1: 35 Railroad Row 4th Floor, White River Junction, VT 05001

RIA

CRD#: 167342

WHITE RIVER JUNCTION, VT

Past

April 25, 2014 - December 3, 2014

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

GUILFORD, CT

Past

March 28, 2012 - February 27, 2013

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

January 20, 2012 - February 27, 2013

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

July 18, 2007 - December 5, 2011

FENWICK INVESTMENTS, LLC

RIA

CRD#: 144423

NEW CANAAN, CT

Past

January 25, 2006 - May 11, 2007

DIASTOLE WEALTH MANAGEMENT

RIA

CRD#: 111604

OLD SAYBROOK, CT

Past

October 27, 2005 - June 30, 2006

SOUND FINANCIAL ADVISORS

RIA

CRD#: 126276

WILTON, CT

Past

May 22, 2003 - January 27, 2006

GREENWICH GLOBAL, LLC

CRD#: 37304

WILTON, CT

Past

April 1, 2002 - August 26, 2002

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 28, 2000 - April 8, 2002

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

October 11, 1996 - June 8, 1998

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

November 19, 1993 - February 10, 1994

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 24, 1992 - December 20, 1993

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

June 5, 1992 - September 16, 1992

F.N. WOLF & CO., INC.

CRD#: 13051

Past

September 4, 1990 - September 28, 1990

COLONIAL EQUITIES CORP.

CRD#: 2295

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

Connecticut
(4/10/2013)

IAR

New York
(10/5/2021)

IAR

Vermont
(7/24/2020)

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 66

Date: 4/7/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/20/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/3/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/2012

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/31/1990

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/29/1996

General Securities Principal Examination

Current Firm

FENWICK INVESTMENTS, LLC

FENWICK AND FENWICK ADVISORS | FENWICK INVESTMENTS, LLC

CRD#: 167342 / SEC#:

Arizona

Registered Investment Advisory firm - (12/26/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (4/10/2013 Approved)

New York

Registered Investment Advisory firm - (6/4/2013 Approved)

Vermont

Registered Investment Advisory firm - (7/23/2020 Approved)

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).

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Contact information

Main Address

35 Railroad Row 4th Floor, White River Junction, VT 05001

Mailing Address

Phone number

(800) 678-4015

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 15,439,760

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.

Contact information

xxxxx@xxxx.xxx

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Carl G. Bulgini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl George Bulgini III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FENWICK INVESTMENTS, LLC

SMH CAPITAL INVESTMENTS LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

FENWICK INVESTMENTS, LLC

DIASTOLE WEALTH MANAGEMENT

SOUND FINANCIAL ADVISORS

GREENWICH GLOBAL, LLC

JANNEY MONTGOMERY SCOTT LLC

EQUITY SERVICES, INC.

EDWARD JONES

MML INVESTORS SERVICES, LLC

DOMINARI SECURITIES LLC

F.N. WOLF & CO., INC.

COLONIAL EQUITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2012

Series 63

Date: 1/20/2012

Series 65

Date: 3/20/2000

SIE

Date: 12/3/2014

Series 7

Date: 1/19/2012

Series 22

Date: 8/31/1990

Series 24

Date: 8/29/1996

Current Firm

FENWICK INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FENWICK INVESTMENTS, LLC

TRUST BUT VERIFY

Contact information

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