CAROTA WEALTH MANAGEMENT of WEST CONSHOHOCKEN, PA is an SEC-registered investment adviser (CRD 127344). Regulatory assets under management: $135.0M.
Compensation: % of AUM, Hourly, Fixed, Subscription.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Raymond Noah Carota | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| CAROTA RAYMOND NOAH | PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-12-14 | regulatory | NET WORTH DEFICIENCY - BALANCE SHEET FILED 02/13/2017 SHOWED NET WORTH BELOW PENNSYLVANIA'S $10,000 MINIMUM REQUIREMENT | Final | $35K |
| — | regulatory | — | — | — |