Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlton? Claim Your ProfileCarlton Brent Jones is a financial advisor at LPL Financial LLC. Carlton has been in the industry since February 7, 2010 and has a combined total of 2 state, 2 product and 2 principal exams. Carlton is a Registered Representative of LPL Financial and an Investment Advisor Representative with LPL Financial. Carlton has been registered with LPL Financial LLC since July 6, 2020. Previously, Carlton was employed by ALLY INVEST SECURITIES LLC from May 3, 2012 to June 9, 2020 and WELLS FARGO ADVISORS, LLC from October 22, 2009 to February 9, 2012.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SC
07/06/2020 - Present
LPL Financial LLC (FORT MILL SC)
NC
05/03/2012 - 06/09/2020
ALLY INVEST SECURITIES LLC (CHARLOTTE NC)
NC
10/22/2009 - 02/09/2012
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
IA
Issued 05/13/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2014
Series 24 - General Securities Principal Examination
BC
Issued 03/04/2013
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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