Cari A. Walling

PROCYON

Melville, NY 11747

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CRD#: 4044551

Professional summary

Cari Ann Walling, who also goes by Cari Ann Endres, is a registered financial advisor currently at PROCYON located in Melville, New York.

Cari is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Cari has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cari Ann Endres

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.

1. CARI WALLING HAS SERVED AS AN INVESTMENT ADVISOR REPRESENTATIVE FOR PROCYON PRIVATE WEALTH PARTNERS, LLC AND A INVESTMENT ADVISOR REPRESENTATIVE OF PROCYON INSTITUTIONAL PARTNERS, LLC SINCE 05/2021. BUSINESS IS CONDUCTED FROM MELVILLE, NY. 2. INDEPENDENT INSURANCE AGENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cari Ann Walling'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, 2021 - Present

PROCYON

Office #1: 534 Broadhollow Rd. Suite 300, Melville, NY 11747

RIA

CRD#: 288239

Melville, NY

Past

May 24, 2021 - December 31, 2021

PROCYON INSTITUTIONAL PARTNERS, LLC

RIA

CRD#: 288244

Melville, NY

Past

April 29, 2019 - July 27, 2021

PIVOTAL PLANNING GROUP, LLC

RIA

CRD#: 126575

MELVILLE, NY

Past

December 8, 2017 - April 3, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBURY, NY

Past

December 9, 2016 - April 3, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

September 27, 2011 - October 20, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 14, 2006 - September 14, 2011

PAPAMARKOU WELLNER & CO., INC.

CRD#: 10963

NEW YORK, NY

Past

November 3, 2000 - February 13, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 10, 2000 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 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

New York
(5/24/2021)

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 66

Date: 12/2/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/5/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/8/2000

General Securities Representative Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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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Firm Stability Insights

Cari A. Walling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cari Ann Walling's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROCYON INSTITUTIONAL PARTNERS, LLC

PIVOTAL PLANNING GROUP, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

GOLDMAN SACHS & CO. LLC

PAPAMARKOU WELLNER & CO., INC.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2017

Series 63

Date: 8/28/2000

SIE

Date: 10/1/2018

Series 3

Date: 4/5/2012

Series 7

Date: 7/8/2000

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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