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Cari Ann Walling

Procyon Advisors, LLC

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About Cari Ann Walling

Cari Ann Walling is an Investment Advisor Representative at Procyon Advisors, LLC, where she has been employed since May 2021. Cari Ann has been in the financial services industry since November 2000 and has a broad range of experience. Cari Ann is licensed to provide investment advisory services in New York. Cari Ann also worked at AXA Advisors, LLC in New York. Prior to that, Cari Ann worked at Goldman, Sachs & Co. in New York.

Firm Information

Cari Walling is currently registered with Procyon Advisors, LLC. Procyon Advisors, LLC is a registered investment advisor based in Shelton, Connecticut. The firm provides a range of services to individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, and other clients, including financial planning, pension consulting, selection of other advisors, and portfolio management for individuals and pooled investment vehicles. The firm currently manages over $6 billion in assets.
Procyon Advisors, LLC

1 CORPORATE DRIVE

SHELTON, CT 06484

$6.28B

Assets Under Management

Not reported

Total Clients

38

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Cari Walling’s Registration & Firm History

NY

05/24/2021 - Present

Procyon Advisors, LLC (Melville NY)

NY

12/09/2016 - 04/03/2019

AXA ADVISORS, LLC (WOODBURY NY)

NY

09/27/2011 - 10/20/2016

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

02/14/2006 - 09/14/2011

PAPAMARKOU WELLNER & CO., INC. (NEW YORK NY)

NY

11/03/2000 - 02/13/2006

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NJ

07/10/2000 - 01/17/2003

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BOTH

Issued 12/02/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2012

Series 3 - National Commodity Futures Examination

BC

Issued 07/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Cari Ann Walling.
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