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CB

Carolyn M. Buntic

ALPS DISTRIBUTORS
NEW YORK, NY 10011-6901
Some features on this profile are disabled
CRD#: 2807649
CB

Professional summary

Carolyn Marie Buntic is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Carolyn is registered as a RR (Registered Representative) and started their career in finance in 1997. Carolyn has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Carolyn Marie Buntic'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

June 24, 2016 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 104 5th Avenue Floor 9, New York, NY 10011-6901
BD
CRD#: 16853
NEW YORK, NY
Past

June 7, 2013 - June 20, 2016

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
NEW YORK CITY, NY
Past

February 21, 2013 - June 20, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
NEW YORK CITY, NY
Past

August 1, 2006 - June 4, 2012

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

September 19, 2005 - January 10, 2006

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ
Past

July 23, 2002 - September 19, 2005

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

July 20, 1999 - March 19, 2001

BISYS SHELF B/D (1), INC.

BD
CRD#: 26501
BOSTON, MA
Past

February 18, 1998 - March 11, 1999

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

October 16, 1997 - February 3, 1998

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA

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
Arizona
(6/24/2016)
RR
California
(6/24/2016)
RR
Colorado
(6/24/2016)
RR
Connecticut
(6/24/2016)
RR
District of Columbia
(6/24/2016)
RR
Florida
(6/24/2016)
RR
Georgia
(6/24/2016)
RR
Illinois
(6/24/2016)
RR
Maryland
(6/24/2016)
RR
Massachusetts
(6/24/2016)
RR
Minnesota
(6/24/2016)
RR
Nevada
(8/9/2024)
RR
New Jersey
(6/24/2016)
RR
New York
(6/24/2016)
RR
North Carolina
(6/27/2016)
RR
Ohio
(6/27/2016)
RR
Pennsylvania
(6/24/2016)
RR
Rhode Island
(3/27/2023)
RR
Texas
(9/14/2020)
RR
Utah
(8/9/2024)
RR
Vermont
(3/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/10/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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

ALPS DISTRIBUTORS, INC.

CRD#: 16853New York, NY 10011-6901

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