Carolyn Reynolds

PROXY WEALTH ADVISORS LLC

Huntersville, NC

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CRD#: 4712060

Professional summary

Carolyn Reynolds, who also goes by Carolyn M. Reynolds, Carolyn Marie Reynolds, Carolyn Reynolds, is a registered financial advisor currently at PROXY WEALTH ADVISORS LLC located in Huntersville, North Carolina.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Carolyn has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolyn M. Reynolds | Carolyn Marie Reynolds | Carolyn Reynolds

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 Reynolds'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

February 27, 2025 - Present

PROXY WEALTH ADVISORS LLC

RIA

CRD#: 298080

Huntersville, NC

Past

September 10, 2021 - June 12, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

New York City, NY

Past

August 3, 2021 - June 12, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

New York City, NY

Past

June 4, 2021 - July 6, 2021

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

May 9, 2018 - August 7, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

Past

June 1, 2009 - April 20, 2018

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

June 1, 2009 - April 20, 2018

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

November 21, 2006 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

November 21, 2006 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 3, 2005 - November 21, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

September 30, 2005 - November 21, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

NEW YORK, NY

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".

PROXY WEALTH ADVISORS LLC

BLUEMANTLE INVESTMENTS & WEALTH MANAGEMENT LLC | PROXY WEALTH ADVISORS LLC | PROXY FINANCIAL | GUARDIAN GLOBAL INVESTMENTS LLC | CONTINENTAL BROKERS USA

CRD#: 298080 / SEC#: 801-128321

RIA

Registered Investment Advisory firm - (7/10/2023 Approved)

California

Registered Investment Advisory firm - (8/10/2023 Terminated)

Florida

Registered Investment Advisory firm - (7/11/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (7/13/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/12/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2023 Terminated)

New York

Registered Investment Advisory firm - (7/11/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/11/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(2/27/2025)

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: 11/2/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/10/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 6/9/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/29/2005

General Securities Representative Examination

Current Firm

PROXY WEALTH ADVISORS LLC

BLUEMANTLE INVESTMENTS & WEALTH MANAGEMENT LLC | PROXY WEALTH ADVISORS LLC | PROXY FINANCIAL | GUARDIAN GLOBAL INVESTMENTS LLC | CONTINENTAL BROKERS USA

CRD#: 298080 / SEC#: 801-128321

RIA

Registered Investment Advisory firm - (7/10/2023 Approved)

California

Registered Investment Advisory firm - (8/10/2023 Terminated)

Florida

Registered Investment Advisory firm - (7/11/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (7/13/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (7/12/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (7/11/2023 Terminated)

New York

Registered Investment Advisory firm - (7/11/2023 Terminated)

Texas

Registered Investment Advisory firm - (7/11/2023 Terminated)

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Contact information

Main Address

9100 Conroy Windermere Rd. Suite 217, Windermere, FL 34786

Mailing Address

Phone number

(646) 289-5075

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROXY WEALTH ADVISORS BROCHURE (9/12/2025)

PROXY WEALTH ADVISORS WRAP BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	700
AUM (Assets Under Management)	$ 90,035,000

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

Carolyn Reynolds

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PROXY WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/2/2005

SIE

Date: 10/1/2018

Series 3

Date: 7/10/2014

Series 31

Date: 6/9/2006

Series 7

Date: 9/29/2005

Current Firm

PROXY WEALTH ADVISORS LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROXY WEALTH ADVISORS LLC

TRUST BUT VERIFY

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