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CW

Carolyn Wittmann-todd

Some features on this profile are disabled
CRD#: 6159405
CW
Carolyn Wittmann-todd

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.

Carolyn Wittmann-todd, who also goes by Carolyn Piper Kitchin, Carolyn Piper Wittmann-todd, Carolyn P Wittmann-todd, was a registered financial professional .

Carolyn is a previously registered financial professional and started their career in finance in 2013. Carolyn had worked at 11 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 6 exams.

Aliases

Carolyn Piper Kitchin | Carolyn Piper Wittmann-Todd | Carolyn P Wittmann-Todd

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

October 24, 2025 - July 22, 2026

FULCRUM CAPITAL, LLC

RIA
CRD#: 145322
SEATTLE, WA
Past

May 19, 2025 - October 24, 2025

THE CAPROCK GROUP, LLC

RIA
CRD#: 124272
Mercer Island, WA
Past

May 16, 2024 - October 15, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SEATTLE, WA
Past

October 15, 2019 - February 2, 2024

SUMMIT TRAIL SECURITIES, LLC

BD
CRD#: 285784
Seattle, WA
Past

May 24, 2019 - September 9, 2019

COLDSTREAM WEALTH MANAGEMENT

RIA
CRD#: 108805
BELLEVUE, WA
Past

May 24, 2019 - September 9, 2019

COLDSTREAM SECURITIES, INC.

BD
CRD#: 46835
BELLEVUE, WA
Past

September 14, 2018 - May 2, 2019

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Kirkland, WA
Past

September 14, 2018 - May 2, 2019

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Kirkland, WA
Past

May 17, 2018 - August 30, 2018

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
Seattle, WA
Past

May 16, 2018 - August 30, 2018

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Seattle, WA
Past

September 6, 2016 - April 24, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
New York, NY
Past

September 6, 2016 - April 24, 2018

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
New York, NY
Past

June 20, 2016 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
NEW YORK, NY
Past

June 20, 2016 - September 6, 2016

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 11, 2015 - May 26, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

September 11, 2015 - May 26, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 8, 2014 - September 2, 2015

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
PHILADELPHIA, PA
Past

August 8, 2014 - September 2, 2015

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
PHILADELPHIA, PA
Past

May 8, 2014 - July 23, 2014

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PHILADELPHIA, PA
Past

May 8, 2014 - July 23, 2014

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 14, 2014 - April 15, 2014

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
PHILADELPHIA, PA
Past

September 5, 2013 - April 15, 2014

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 8, 2013 - July 15, 2013

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
PARSIPPANY, NJ

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".
FC
FULCRUM CAPITAL, LLC
FULCRUM CAPITAL, LLC | K & J INVESTMENTS

CRD#: 145322 / SEC#: 801-68459

RIA
Registered Investment Advisory firm - (10/23/2007 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: 5/19/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2014
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 7
Date: 11/26/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/6/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FC
FULCRUM CAPITAL, LLC
FULCRUM CAPITAL, LLC | K & J INVESTMENTS

CRD#: 145322 / SEC#: 801-68459

RIA
Registered Investment Advisory firm - (10/23/2007 Approved)
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Contact information

Main Address
800 Fifth Avenue Suite 3800, Seattle, WA 98104
Mailing Address
Phone number
(206) 223-9790
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FULCRUM CAPITAL, LLC ADV 2A 03.14.2025 (3/19/2025)

Regulatory assets under management

Total Number of Accounts632
AUM (Assets Under Management)$ 975,924,657

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

FULCRUM CAPITAL, LLC

CRD#: 145322

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