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CS

Constance A. Showers

MADISON AVENUE SECURITIES
Ocean View, NJ 08230
Some features on this profile are disabled
CRD#: 2034328
CS

Professional summary

Constance Anne Showers, who also goes by Connie Carter, Constance Anne Carter, Constance Anne Zorn, is a registered financial professional currently at MADISON AVENUE SECURITIES, LLC located in Ocean View, New Jersey.

Constance is registered as a RR (Registered Representative) and started their career in finance in 1998. Constance has worked at 7 firms and has passed the Series 11 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Connie Carter | Constance Anne Carter | Constance Anne Zorn

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 Constance Anne Showers'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

October 7, 2024 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 1314 Route 9, Ocean View, NJ 08230
RIA
BD
CRD#: 23224
Ocean View, NJ
Past

August 23, 2024 - October 8, 2024

OSAIC WEALTH, INC.

BD
CRD#: 23131
Ocean View, NJ
Past

October 1, 2018 - August 23, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
Ocean View, NJ
Past

September 4, 2015 - October 9, 2018

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
Ocean View, NJ
Past

October 9, 2009 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MARMORA, NJ
Past

March 30, 2007 - October 8, 2009

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
KNIGHTSTOWN, IN
Past

March 6, 2006 - March 14, 2007

DALTON STRATEGIC INVESTMENT SERVICES INC.

BD
CRD#: 23485
MARMORA, NJ
Past

June 25, 1998 - October 24, 2006

PASHLEY FINANCIAL SERVICES, INC.

BD
CRD#: 23017
MARMORA, NJ

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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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

General Industry/Product Exam
RR
Series 11
Date: 6/22/1998
Assistant Representative-Order Processing Qualification Exam
SRO Registrations
RR
FINRA

Current Firm

MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)
MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

NamePositionCRD#
KT EQUITY PARTNERS II, LLCDIRECT OWNER
CALLANAN, DAVID JAMESMEMBER4237166
FIXSEN, VILAYPHONECHIEF OPERATING OFFICER4585926
FOSTER, CODY GRANTMEMBER4237075
JENSEN, GAIL MARIEDEPUTY CHIEF COMPLIANCE OFFICER1943705
MCNEES, MARTIN WILLIAMPRESIDENT3168410
METCALFE, INC.OWNER
PIERSON, MELISSA KAYCHIEF COMPLIANCE OFFICER1685017
SCHENDEL, JENNIFERMEMBER6136948
WOODS, SANDRA ANNFINOP6200533

Regulatory assets under management

Total Number of Accounts14,100
AUM (Assets Under Management)$ 2,038,801,712

Disclosures

Regulatory Event8
Arbitration1

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

MADISON AVENUE SECURITIES, LLC

CRD#: 23224Ocean View, NJ 08230

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