Carrie A. Bastian

ELPIS CAPITAL GROUP

Indianapolis, IN 46240

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CRD#: 5989194

Professional summary

Carrie Ann Bastian, who also goes by Carrie Ann Miller, Carrie Ann Pickett, is a registered financial advisor currently at ELPIS CAPITAL GROUP, LLC located in Indianapolis, Indiana.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Carrie has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carrie Ann Miller | Carrie Ann Pickett

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) WOLFRUM AND COMPANY, LLC; INVESTMENT RELATED - RIA; 8888 KEYSTONE CROSSING, SUITE 1610, INDIANAPOLIS, IN 46240; POSITION: INVESTMENT ADVISOR REPRESENTATIVE; 2) THE HUMAN FUND; INVESTMENT-RELATED; ENTITY RECEIVES INCOME FROM FOUNDRY MEZZANINE OPPORTUNITIES FUND; INDIANAPOLIS, IN; START DATE 12/2016; MINIMAL TIME DURING TRADING HOURS 3) FOUNDRY CAPITAL GROUP,LLC AND FOUNDRY MEZZANINE OPPORTUNITY FUND, LP; INVESTMENT-RELATED; INDIANAPOLIS, IN; ADMINISTRATIVE AND PROCESSING; APPROXIMATELY 5-10 HOURS PER WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Ann Bastian's 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

September 11, 2024 - Present

ELPIS CAPITAL GROUP, LLC

Office #1: 8888 Keystone Crossing Suite 580, Indianapolis, IN 46240

RIA

CRD#: 175494

Indianapolis, IN

Past

February 1, 2018 - April 11, 2024

WOLFRUM AND CO.

RIA

CRD#: 291243

Indianapolis, IN

Past

January 2, 2018 - September 23, 2019

HUNTLEIGH SECURITIES CORPORATION

CRD#: 7456

Indianapolis, IN

Past

August 11, 2015 - January 4, 2018

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

CHICAGO, IL

Past

April 3, 2013 - August 11, 2015

SANCTUARY SECURITIES, INC.

RIA

CRD#: 205

INDIANAPOLIS, IN

Past

April 3, 2013 - January 4, 2018

SANCTUARY SECURITIES, INC.

CRD#: 205

INDIANAPOLIS, IN

Past

July 10, 2012 - April 4, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

INDIANAPOLIS, IN

Past

May 28, 2012 - April 4, 2013

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

INDIANAPOLIS, IN

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

Indiana
(9/11/2024)

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: 7/9/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2012

General Securities Representative Examination

Current Firm

ELPIS CAPITAL GROUP, LLC

ELPIS CAPITAL GROUP, LLC | TROY MARCHAND TBD | FOUNDRY CAPITAL GROUP, LLC

CRD#: 175494 / SEC#:

Indiana

Registered Investment Advisory firm - (1/31/2018 Approved)

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Contact information

Main Address

7190 E 106th Street, Fishers, IN 46038

Mailing Address

Phone number

(317) 660-8938

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 90,353,538

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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Carrie A. Bastian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Ann Bastian's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELPIS CAPITAL GROUP, LLC

WOLFRUM AND CO.

HUNTLEIGH SECURITIES CORPORATION

SANCTUARY ADVISORS, LLC

SANCTUARY SECURITIES, INC.

SANCTUARY SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2012

Current Firm

ELPIS CAPITAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ELPIS CAPITAL GROUP, LLC

TRUST BUT VERIFY

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