Carolyn T. Walder
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.
Carolyn Thompson Walder, who also goes by Carolyn Jane Thompson, Carolyn Thompson, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1997. Carolyn had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2021 - December 31, 2022
WEALTHSTREAM ADVISORS, INC.
January 1, 2005 - May 4, 2021
LIFETIME WEALTH PLANNING AND MANAGEMENT, LLC
February 4, 1999 - December 31, 2004
BERNHARDT WEALTH MANAGEMENT, INC.
June 25, 1998 - September 25, 1998
INVESTORS SECURITY COMPANY, INC.
September 9, 1997 - June 10, 1998
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTHSTREAM ADVISORS, INC.
CRD#: 129428 / SEC#: 801-63363
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,122 |
| AUM (Assets Under Management) | $ 1,537,243,540 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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