Carolyn Anderson is a registered investment advisor at Ptma Investment Advisors, based in Denver, CO, with 15 years of industry experience. Carolyn is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 82 clients with $100B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees vary by client type and strategy, with individual equity, fixed income, and balanced strategies charged up to 1.00% annually. Institutional fixed income strategies are charged up to 0.45% annually. Fees are negotiable.
Fee Estimator
Location
717 17th Street, Suite 1850, Denver, CO, 80202
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Pma Securities, LLC
Ptma Investment Advisors
Pma Securities, LLCBroker
Previous Registrations
Commerce Street Capital, LLCBroker
Iberia Asset Management, INC.
First Private Wealth Management, INC.
Ust Securities CORP.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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