Carol A. Uselman

CANNON WEALTH MANAGEMENT SERVICES

Winston Salem, NC 27104

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CRD#: 4396257

Professional summary

Carol Ann Uselman, who also goes by Carol Ann Mackay, is a registered financial advisor currently at CANNON WEALTH MANAGEMENT SERVICES located in Winston Salem, North Carolina and PRIVATE CLIENT SERVICES, LLC located in Winston Salem, North Carolina.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carol has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Ann Mackay

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) Private Client Services; Investment related; 2225 Lexington Rd, Louisville KY 40206; Broker-Dealer; Registered Rep; Start date 11/1/2022; 10hrs per month; monitor investment portfolios for my clients. 2) PrepperLifeLLC. 2160 Emorywood Rd, Rural Hall, NC 27045. Occasional sales of retail products. Owner. 2 hrs/mo; 2 during trading hrs. 3) Rental real estate. 2290 Moir Farm Rd, Lawsonville, NC 27022. Rental real estate. Owned by Gary A Uselman and Carl A Uselman, JTWRS. 8 hrs/mo; 8 during trading hrs. 4) Simplicity Group; non-securities related; 5904 Six Forks Rd, Suite 105, Raleigh NC 27609; Insurance; Place Insurance, LTC & FIA/FA Annuity Business 5) Cannon Wealth Management. 2160 Country Club Rd, Winston Salem, NC 27104. RIA. 78 hrs/mo; 78 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Uselman'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

November 2, 2022 - Present

CANNON WEALTH MANAGEMENT SERVICES

Office #1: 2160 Country Club Road, Winston Salem, NC 27104

RIA

CRD#: 323302

Winston Salem, NC

Current

November 1, 2022 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 2160 Country Club Rd, Winston Salem, NC 27104

RIA

CRD#: 120222

Winston Salem, NC

Past

December 12, 2012 - November 10, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

RURAL HALL, NC

Past

December 12, 2012 - November 10, 2022

LPL FINANCIAL LLC

CRD#: 6413

RURAL HALL, NC

Past

November 5, 2002 - December 31, 2004

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

WINSTON-SALEM, NC

Past

November 5, 2002 - December 17, 2012

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

WINSTON SALEM, NC

Past

December 31, 2001 - August 15, 2002

WADDELL & REED

RIA

CRD#: 866

WINSTON-SALEM, NC

Past

June 7, 2001 - August 15, 2002

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

CANNON WEALTH MANAGEMENT SERVICES

CANNON WEALTH MANAGEMENT SERVICES | CANNON WEALTH MANAGEMENT SERVICES, LLC

CRD#: 323302 / SEC#: 801-126703

RIA

Registered Investment Advisory firm - (10/7/2022 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.

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

North Carolina
(11/1/2022)

IAR

North Carolina
(11/2/2022)

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

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/5/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CANNON WEALTH MANAGEMENT SERVICES

CANNON WEALTH MANAGEMENT SERVICES | CANNON WEALTH MANAGEMENT SERVICES, LLC

CRD#: 323302 / SEC#: 801-126703

RIA

Registered Investment Advisory firm - (10/7/2022 Approved)

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Contact information

Main Address

2160 Country Club Road, Winston Salem, NC 27104

Mailing Address

Phone number

(336) 231-6844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CANNON WEALTH MANAGEMENT SERVICES FORM ADV PART 2A (2/13/2025)

CANNON WEALTH MANAGEMENT SERVICES ADV PART 2A WRAP (2/13/2025)

Regulatory assets under management

Total Number of Accounts	967
AUM (Assets Under Management)	$ 213,118,947

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

Carol A. Uselman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Ann Uselman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

CANNON WEALTH MANAGEMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2012

Series 63

Date: 7/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2003

Series 6

Date: 6/5/2001

FINRA

Current Firm

CANNON WEALTH MANAGEMENT SERVICES

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CANNON WEALTH MANAGEMENT SERVICES

TRUST BUT VERIFY

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