Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl J. Settles, III is a registered Investment Advisor Representative with Ascensus Investment Advisors, LLC. Carl J. Settles, III has been in the industry for 20 years. Carl J. Settles, III has passed the Series 63, Series 65, and Series 7 exams. Carl J. Settles, III is located in NEWTON, MA and is associated with the Newton branch office of Ascensus Investment Advisors, LLC. Carl J. Settles, III has previously been registered with Fidelity Brokerage Services LLC. Carl J. Settles, III is active in the state of Massachusetts.
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.
Guidance on pension options to ensure a secure financial future.
Portfolio mgmt/oversight incl review of allocations & selection of underlying securities for qual tuition 529/529a & sfrp plans
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.
A percentage of the total value of assets under management is charged.
Percentage of program management fee and percentage of aua
1
2
MA
05/25/2021 - Present
Ascensus Investment Advisors, LLC (NEWTON MA)
RI
07/27/2004 - 03/23/2005
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
IA
Issued 02/17/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/26/2004
Series 7 - General Securities Representative Examination
Active
Inactive
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