Peggy Ann Carlson | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Peggy Ann Carlson, who also goes by Peggy A Carlson, was a registered financial professional .

Peggy is a previously registered financial professional and started their career in finance in 1991. Peggy had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Peggy A Carlson

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2012 - September 2, 2025

WEALTHCARE CAPITAL MANAGEMENT LLC

RIA

CRD#: 111119

CLAREMONT, CA

Past

April 20, 2012 - December 31, 2012

HARGRAVE & ASSOCIATES, LLC

RIA

CRD#: 136752

REDLANDS, CA

Past

October 23, 2008 - February 13, 2012

GOULD ASSET MANAGEMENT LLC

RIA

CRD#: 113098

CLAREMONT, CA

Past

May 5, 1997 - February 9, 2004

SEI INVESTMENTS DISTRIBUTION CO.

BD

CRD#: 10690

OAKS, PA

Past

November 1, 1991 - December 4, 1996

FORESIDE DISTRIBUTION SERVICES, L.P.

BD

CRD#: 15634

PORTLAND, ME

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".

WC

WEALTHCARE CAPITAL MANAGEMENT LLC

CRD#: 111119 / SEC#: 801-60183

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

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.

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: 10/22/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 10/30/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WC

WEALTHCARE CAPITAL MANAGEMENT LLC

CRD#: 111119 / SEC#: 801-60183

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

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Contact information

Main Address

2 James Center 1021 East Cary Street, #702, Richmond, VA 23219

Mailing Address

600 East Main Street Suite 1240, Richmond, VA 23219

Phone number

(804) 644-4711

Established

Firm type

Fiscal year end

# of Employees

53

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WCM DISCLOSURE BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts	11,564
AUM (Assets Under Management)	$ 3,030,880,135

Red Flags

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Firm Stability Insights

Peggy A. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTHCARE CAPITAL MANAGEMENT LLC

HARGRAVE & ASSOCIATES, LLC

GOULD ASSET MANAGEMENT LLC

SEI INVESTMENTS DISTRIBUTION CO.

FORESIDE DISTRIBUTION SERVICES, L.P.

Primary Firm SEC Registration

WEALTHCARE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/22/2008

Series 63

Date: 10/1/1991

Series 6

Date: 10/30/1991

Current Firm

WEALTHCARE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHCARE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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