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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Carolyn Jean Anderson

Advisor at PTMA INVESTMENT ADVISORS

DENVER, CO

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Search this name across graphsid dfx:ria:fd6fbd2e-501b-c301-46ba-42fcf569ebf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 16, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PTMA INVESTMENT ADVISORS
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 22, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 22, 1998
First registration: Jun 16, 2003
Dual registered: yes, broker-dealer
Other names: CAROLYN JEAN WEMPE
IAPD individual key: 3123981

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PTMA INVESTMENT ADVISORS	Asset manager	Nov 21, 2025	n/a	yes	DENVER, CO	Current employment
IBERIA ASSET MANAGEMENT, INC.	n/a	Sep 16, 2014	Feb 19, 2015	no	DALLAS, TX\|NEW ORLEANS, LA	Previous registration
FIRST PRIVATE WEALTH MANAGEMENT, INC.	n/a	Aug 25, 2009	Apr 21, 2015	no	PLANO, TX\|DALLAS, TX	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Jun 16, 2003	May 3, 2005	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST PRIVATE WEALTH MANAGEMENT, INC.	IBERIA ASSET MANAGEMENT, INC.	Apr 21, 2015	Sep 16, 2014	-217	Firm change after gap	Other
IBERIA ASSET MANAGEMENT, INC.	PTMA INVESTMENT ADVISORS	Feb 19, 2015	Nov 21, 2025	3,928	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	FIRST PRIVATE WEALTH MANAGEMENT, INC.	May 3, 2005	Aug 25, 2009	1,575	Firm change after gap	Other

Relationships

Registered with (4)

→ PTMA INVESTMENT ADVISORSRegistered adviserregistration: current employment
Nov 21, 2025 to presentfactForm ADV
→ FIRST PRIVATE WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Aug 25, 2009 to Apr 21, 2015factForm ADV
→ IBERIA ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Sep 16, 2014 to Feb 19, 2015factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jun 16, 2003 to May 3, 2005factForm ADV

Dated events

No dated event names this entity yet.