Carolyn J. Anderson

PTMA INVESTMENT ADVISORS

DENVER, CO 80202

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CRD#: 3123981

Professional summary

Carolyn Jean Anderson, who also goes by Carolyn Jean Wempe, is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Denver, Colorado and PMA SECURITIES, LLC located in Denver, Colorado.

Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Carolyn has worked at 7 firms and has passed the Series 66, Series 63, Series 50, Series 7TO, SIE, Series 7 and Series 6 exams.

Aliases

Carolyn Jean Wempe

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 Jean Anderson'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

November 21, 2025 - Present

PTMA INVESTMENT ADVISORS

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

RIA

CRD#: 159189

DENVER, CO

Current

November 21, 2025 - Present

PMA SECURITIES, LLC

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

CRD#: 30397

Denver, CO

Past

November 20, 2023 - October 3, 2025

COMMERCE STREET CAPITAL, LLC

CRD#: 143797

DALLAS, TX

Past

September 16, 2014 - February 19, 2015

IBERIA ASSET MANAGEMENT, INC.

RIA

CRD#: 108159

DALLAS, TX

Past

August 25, 2009 - April 21, 2015

FIRST PRIVATE WEALTH MANAGEMENT, INC.

RIA

CRD#: 149605

DALLAS, TX

Past

June 6, 2006 - April 16, 2007

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

June 16, 2003 - May 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

DALLAS, TX

Past

October 21, 1998 - May 3, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

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".

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 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.

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

California
(3/17/2026)

Colorado
(11/21/2025)

IAR

Colorado
(11/21/2025)

Iowa
(2/3/2026)

Michigan
(4/23/2026)

Missouri
(2/3/2026)

Pennsylvania
(11/21/2025)

Texas
(3/17/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 1/27/2026

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7TO

Date: 11/20/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/5/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

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Contact information

Main Address

717 17th Street Suite 1850, Denver, CO 80202

Mailing Address

Phone number

(855) 395-3954

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 94,211,094,125

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 J. Anderson

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Jean Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PMA SECURITIES, LLC

COMMERCE STREET CAPITAL, LLC

IBERIA ASSET MANAGEMENT, INC.

FIRST PRIVATE WEALTH MANAGEMENT, INC.

UST SECURITIES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2025

Series 63

Date: 10/22/1998

Series 50

Date: 1/27/2026

Series 7TO

Date: 11/20/2023

SIE

Date: 10/5/2023

Series 7

Date: 2/20/2003

Series 6

Date: 10/20/1998

FINRA

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

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