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Carolyn Reynolds

PROXY WEALTH ADVISORS
Huntersville, NC
Some features on this profile are disabled
CRD#: 4712060
CR

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.

BD
CRD#: 5393
New York City, NY
Past

June 4, 2021 - July 6, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT
Past

May 9, 2018 - August 7, 2020

J.P. MORGAN SECURITIES LLC

BD
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

BD
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

BD
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.

BD
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".
PW
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)

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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/2/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/10/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 6/9/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2005
General Securities Representative Examination

Current Firm

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

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
25

SEC notice filing (10 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

PROXY WEALTH ADVISORS WRAP BROCHURE (1/12/2026)
PROXY WEALTH ADVISORS BROCHURE (1/11/2026)

Regulatory assets under management

Total Number of Accounts700
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.

Company Information

PROXY WEALTH ADVISORS LLC

CRD#: 298080Huntersville, NC

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