Cary W. Carabasi

WILLIAM CARY CAPITAL MANAGEMENT

PHILADELPHIA, PA 19118

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CRD#: 6501318

Professional summary

Cary Watkins Carabasi is a registered financial advisor currently at WILLIAM CARY CAPITAL MANAGEMENT located in Philadelphia, Pennsylvania.

Cary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Cary has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

HILLBROOK COLLECTIONS LLC; EMPLOYEE;INVESTMENT RELATED: NO; 16 DUPONT ROAD COATESVILLE PA 19320 UNITED STATES OF AMERICA; HILLBROOK COLLECTIONS IS A SMALL BUSINESS THAT SPECIALIZES IN DESIGNING CUSTOM GARDEN HOUSES. ; CARY IS HAS A RANGE OF PART-TIME RESPONSIBILITIES, SUCH AS MAINTAINING RELATIONSHIPS WITH CUSTOMERS AND SUPPLIERS, AND PROVIDING SUPPORT FOR BACK-OFFICE OPERATIONS.; 2023-01-02; HOURS PER MONTH DEVOTED TO BUSINESS DURING TRADING HOURS: 20;HOURS PER MONTH DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 50;PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 50;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Watkins Carabasi'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

February 21, 2018 - Present

WILLIAM CARY CAPITAL MANAGEMENT

Office #1: 12 West Willow Grove Avenue Office 10, Philadelphia, PA 19118

RIA

CRD#: 292135

PHILADELPHIA, PA

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

Pennsylvania
(2/21/2018)

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 65

Date: 12/29/2017

Uniform Investment Adviser Law Examination

Current Firm

WILLIAM CARY CAPITAL MANAGEMENT

WILLIAM CARY CAPITAL MANAGEMENT | WILLIAM CARY CAPITAL MANAGEMENT, LLC

CRD#: 292135 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (2/21/2018 Approved)

Texas

Registered Investment Advisory firm - (12/23/2019 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).

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Contact information

Main Address

12 West Willow Grove Avenue Office 10, Philadelphia, PA 19118

Mailing Address

Phone number

(610) 955-5240

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)	$ 2,530,625

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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Cary W. Carabasi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cary Watkins Carabasi's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIAM CARY CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2017

Current Firm

WILLIAM CARY CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WILLIAM CARY CAPITAL MANAGEMENT

TRUST BUT VERIFY

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