Carolyn A. Keating

36 NORTH CAPITAL MANAGEMENT

BENTONVILLE, AR 72712

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CRD#: 2606209

Professional summary

Carolyn Anne Keating is a registered financial advisor currently at 36 NORTH CAPITAL MANAGEMENT, LLC located in Bentonville, Arkansas.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Carolyn has worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

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 Carolyn Anne Keating'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

May 24, 2022 - Present

36 NORTH CAPITAL MANAGEMENT, LLC

Office #1: 901 Se Village Loop Suite 1, Bentonville, AR 72712

RIA

CRD#: 317557

BENTONVILLE, AR

Past

November 7, 2007 - May 25, 2010

WESTBURY GROUP LLC

CRD#: 129985

WESTPORT, CT

Past

August 5, 1998 - October 28, 1998

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

April 2, 1997 - June 19, 1998

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

May 3, 1995 - February 14, 1997

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

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".

36 NORTH CAPITAL MANAGEMENT, LLC

CRD#: 317557 / SEC#: 801-122931

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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

Arkansas
(5/24/2022)

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: 5/24/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/9/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/6/2007

General Securities Representative Examination

Current Firm

36 NORTH CAPITAL MANAGEMENT, LLC

CRD#: 317557 / SEC#: 801-122931

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

901 Se Village Loop Suite 1, Bentonville, AR 72712

Mailing Address

Phone number

(479) 250-9540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

36 NORTH CAPITAL MANAGEMENT, LLC (2/5/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 2,346,620,000

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.

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Advisor Monitoring

Firm Stability Insights

Carolyn A. Keating

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Anne Keating's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTBURY GROUP LLC

SANTANDER INVESTMENT SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

CITICORP SECURITIES, INC.

Primary Firm SEC Registration

36 NORTH CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2022

Series 63

Date: 11/8/2007

Series 3

Date: 9/9/2015

Series 7

Date: 11/6/2007

Current Firm

36 NORTH CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

36 NORTH CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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