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Carolyn Jean Anderson

Ptma Investment Advisors

Denver, CO

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Current Employers
Ptma Investment Advisors

717 17Th Street Suite 1850, Denver, CO 80202 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2025-11-21
  • CO RA
    APPROVED
    Since 2025-11-21

Branch Locations

717 17Th Street Suite 1850, Denver, CO 80202 • 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
OrganizationCityStateFromTo
Iberia Asset Management, Inc. Dallas TX 07/2014 09/2016
Iberiabank Dallas TX 07/2014 09/2016
Commerce Street Capital, Llc Dallas TX 08/2023 10/2025
Crossfirst Bank Dallas TX 09/2016 03/2023
Unemployed Dallas TX 03/2023 08/2023
Pma Financial Network, Llc Naperville IL 10/2025 Present
Pma Securities, Llc Denver CO 10/2025 Present
Ptma Investment Advisors Denver CO 10/2025 Present
  • 07/2014 → 09/2016
    Iberia Asset Management, Inc.
    Dallas, TX
  • 07/2014 → 09/2016
    Iberiabank
    Dallas, TX
  • 08/2023 → 10/2025
    Commerce Street Capital, Llc
    Dallas, TX
  • 09/2016 → 03/2023
    Crossfirst Bank
    Dallas, TX
  • 03/2023 → 08/2023
    Unemployed
    Dallas, TX
  • 10/2025 → Present
    Pma Financial Network, Llc
    Naperville, IL
  • 10/2025 → Present
    Pma Securities, Llc
    Denver, CO
  • 10/2025 → Present
    Ptma Investment Advisors
    Denver, CO
Previous Registrations
  • 2009-08-25 → 2015-04-21
    First Private Wealth Management, Inc.
    Plano, TX
    Dallas, TX
  • 2014-09-16 → 2015-02-19
    Iberia Asset Management, Inc.
    Dallas, TX
    New Orleans, LA
  • 2003-06-16 → 2005-05-03
    Banc Of America Investment Services, Inc.
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-29
S63 Uniform Securities Agent State Law Examination 1998-10-22
  • S66 Uniform Combined State Law Examination
    2025-01-29
  • S63 Uniform Securities Agent State Law Examination
    1998-10-22
Other Names
  • Carolyn Jean Wempe

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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