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CU

Carol A. Uselman

Some features on this profile are disabled
CRD#: 4396257
CU

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.

Carol Ann Uselman, who also goes by Carol Ann Mackay, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 2001. Carol had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 2, 2022 - December 12, 2025

CANNON WEALTH MANAGEMENT SERVICES

RIA
CRD#: 323302
WINSTON SALEM, NC
Past

November 1, 2022 - December 9, 2025

PRIVATE CLIENT SERVICES, LLC

BD
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

BD
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.

BD
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

BD
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".
CW
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/29/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/6/2001
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: 3/6/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CW
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CANNON WEALTH MANAGEMENT SERVICES FORM ADV PART 2A (1/30/2026)
CANNON WEALTH MANAGEMENT SERVICES ADV PART 2A WRAP (1/30/2026)

Regulatory assets under management

Total Number of Accounts1,001
AUM (Assets Under Management)$ 245,163,421

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

CANNON WEALTH MANAGEMENT SERVICES

CRD#: 323302

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