Inactive

Cari Ann Walling

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Current Employers

Procyon

1 Corporate Drive Suite 225, Shelton, CT 06484 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-24

NY RA
APPROVED

Since 2021-05-24

Branch Locations

225 Broadhollow Rd. Suite 400E, Melville, NY 11747 • United States

1 Corporate Drive Suite 225, Shelton, CT 06484 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Goldman Sachs/Ayco	Latham	NY	09/2011	09/2016
Unemployed	Huntington	NY	09/2016	11/2016
Axa Advisors, Llc	New York	NY	11/2016	04/2019
Pivotal Planning Group, Llc	Jericho	NY	04/2019	05/2021
Procyon Advisors, Llc	Melville	NY	01/2022	Present
Procyon Institutional Partners, Llc	Melville	NY	05/2021	12/2021

09/2011 → 09/2016

Goldman Sachs/Ayco

Latham, NY
09/2016 → 11/2016

Unemployed

Huntington, NY
11/2016 → 04/2019

Axa Advisors, Llc

New York, NY
04/2019 → 05/2021

Pivotal Planning Group, Llc

Jericho, NY
01/2022 → Present

Procyon Advisors, Llc

Melville, NY
05/2021 → 12/2021

Procyon Institutional Partners, Llc

Melville, NY

Previous Registrations

2021-05-24 → 2021-12-31

Procyon Institutional Partners, Llc

Melville, NY

Shelton, CT
2019-04-29 → 2021-07-27

Pivotal Planning Group, Llc

Melville, NY
2017-12-08 → 2019-04-03

Equitable Advisors, Llc

Melville, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-12-02
S63	Uniform Securities Agent State Law Examination	2000-08-28

S66 Uniform Combined State Law Examination

2017-12-02
S63 Uniform Securities Agent State Law Examination

2000-08-28

Other Names

Cari Ann Endres

View on SEC IAPD

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