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Carolyn Marie Buntic

Alps Distributors, Inc.

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About Carolyn Marie Buntic

Carolyn Marie Buntic is a financial professional with over 20 years of experience in the securities industry. Carolyn is currently registered with Alps Distributors, Inc. and is licensed in 48 states. Prior to joining Alps Distributors, Carolyn held positions at Charles Schwab & Co., Inc., Quasar Distributors, LLC, Pershing Advisor Solutions LLC, Pershing LLC, Vista Fund Distributors, Inc., and NYLIFE Securities Inc. Carolyn holds the Series 63, Series 66, Series 7, and SIE securities licenses.

Firm Information

Carolyn Buntic is currently registered with Alps Distributors, Inc.. Alps Distributors, Inc. is a Corporation that was formed on July 1, 1985. It is registered in 53 states and is also approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

169

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.

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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Carolyn Buntic’s Registration & Firm History

NY

06/24/2016 - Present

Alps Distributors, Inc. (NEW YORK NY)

NY

02/21/2013 - 06/20/2016

CHARLES SCHWAB & CO., INC. (NEW YORK CITY NY)

ME

08/01/2006 - 06/04/2012

QUASAR DISTRIBUTORS, LLC (PORTLAND ME)

NJ

09/19/2005 - 01/10/2006

PERSHING ADVISOR SOLUTIONS LLC (JERSEY CITY NJ)

NJ

07/23/2002 - 09/19/2005

PERSHING LLC (JERSEY CITY NJ)

MA

07/20/1999 - 03/19/2001

VISTA FUND DISTRIBUTORS, INC. (BOSTON MA)

NY

02/18/1998 - 03/11/1999

NYLIFE SECURITIES INC. (NEW YORK NY)

CA

10/16/1997 - 02/03/1998

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

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Licenses & Designations

BOTH

Issued 05/10/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn Marie Buntic.
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