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CP

Carolyn A. Pratt

GUIDED WEALTH
LANTANA, TX
Some features on this profile are disabled
CRD#: 6843948
CP

Professional summary

Carolyn Ann Pratt, who also goes by Carolyn Ann Pratt, Carolyn Ann Polomsky, Carrie Polomsky, Carolyn Pratt, Carrie Pratt, is a registered financial advisor currently at GUIDED WEALTH, LLC located in Lantana, Texas.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Carolyn has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carolyn Ann Pratt | Carolyn Ann Polomsky | Carrie Polomsky | Carolyn Pratt | Carrie Pratt

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 Ann Pratt'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

January 6, 2026 - Present

GUIDED WEALTH, LLC

RIA
CRD#: 339013
LANTANA, TX
Past

April 15, 2025 - January 16, 2026

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DARTMOUTH, MA
Past

April 24, 2024 - December 23, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
PLANO, TX
Past

April 24, 2024 - December 23, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
PLANO, TX
Past

August 28, 2023 - April 24, 2024

OSAIC FA, INC.

RIA
CRD#: 3978
PLANO, TX
Past

June 28, 2021 - April 24, 2024

OSAIC FA, INC.

BD
CRD#: 3978
PLANO, TX

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
Texas
(1/6/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/11/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/26/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/25/2019
Securities Industry Essentials Examination

Current Firm

GW
GUIDED WEALTH, LLC
GUIDED WEALTH, LLC

CRD#: 339013 / SEC#: 801-134849

RIA
Registered Investment Advisory firm - (1/6/2026 120-Day Approval)
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Contact information

Main Address
Dartmouth, MA
Mailing Address
Phone number
(508) 980-0999
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (3 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GUIDED WEALTH LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (1/6/2026)
0

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

GUIDED WEALTH, LLC

CRD#: 339013Lantana, TX

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