CT
Caroline A. Tanis
THE WEALTH BOUTIQUE
Chester, NJ 07930
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CRD#: 6809844
CT
Professional summary
Caroline Ann Tanis, who also goes by Caroline Tanis, is a registered financial advisor currently at THE WEALTH BOUTIQUE located in Chester, New Jersey.
Caroline is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Caroline has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caroline Tanis
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.
5/12/2022, Licensed insurance agent, not investment related, Life, Disability and LTC insurance, approximately 5 hours/month 5/12/2022, Tanis Financial Group, LLC, Owner, not investment related, provides strategy sessions regarding budgeting, debt payoff plans, educational courses for purchase, scheduling and creating content for media or speaking engagement (excludes investments/investment management), approximately 40 hours/month
CRS (Client Relationship Summary) - RIA
Click below to view Caroline Ann Tanis'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®
NoneExperience
Current
May 16, 2022 - Present
THE WEALTH BOUTIQUE
Office #1: 245 Main Street Suite 205, Chester, NJ 07930RIA
CRD#: 317291
Chester, NJ
Past
October 17, 2018 - May 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 4, 2018 - May 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
TW
THE WEALTH BOUTIQUE
ALIGNED WEALTH COLLECTIVE | WOMEN'S WEALTH BOUTIQUE | WOMEN'S WEALTH ADVISOR | THE WEALTH BOUTIQUE | THE MELISSA MYERS GROUP | TANIS FINANCIAL GROUP | MONEY MATTERS WEALTH SOLUTIONS | FEMALE FINANCIAL FITNESS | CLARITY FINANCIAL ADVISORS | CITRINE & GOLD | CARNELIAN WEALTH SOLUTIONS, LLC
CRD#: 317291 / SEC#: 801-129886
RIA
Registered Investment Advisory firm - (4/11/2024 Approved)Alabama
Registered Investment Advisory firm - (4/29/2024 Terminated)Colorado
Registered Investment Advisory firm - (4/30/2024 Terminated)Indiana
Registered Investment Advisory firm - (4/30/2024 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/29/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Virginia
Registered Investment Advisory firm - (4/30/2024 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
New Jersey(5/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TW
THE WEALTH BOUTIQUE
ALIGNED WEALTH COLLECTIVE | WOMEN'S WEALTH BOUTIQUE | WOMEN'S WEALTH ADVISOR | THE WEALTH BOUTIQUE | THE MELISSA MYERS GROUP | TANIS FINANCIAL GROUP | MONEY MATTERS WEALTH SOLUTIONS | FEMALE FINANCIAL FITNESS | CLARITY FINANCIAL ADVISORS | CITRINE & GOLD | CARNELIAN WEALTH SOLUTIONS, LLC
CRD#: 317291 / SEC#: 801-129886
RIA
Registered Investment Advisory firm - (4/11/2024 Approved)Alabama
Registered Investment Advisory firm - (4/29/2024 Terminated)Colorado
Registered Investment Advisory firm - (4/30/2024 Terminated)Indiana
Registered Investment Advisory firm - (4/30/2024 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2024 Terminated)Ohio
Registered Investment Advisory firm - (4/29/2024 Terminated)South Carolina
Registered Investment Advisory firm - (4/29/2024 Terminated)Virginia
Registered Investment Advisory firm - (4/30/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
245 Main Street Suite 205, Chester, NJ 07930
Mailing Address
Phone number
(908) 955-0077
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 670 |
| AUM (Assets Under Management) | $ 94,135,525 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
