Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlton? Claim Your ProfileCarlton Harris is a financial advisor with Wells Fargo Clearing Services, LLC in St. Louis, MO. Carlton has been in the financial industry since 1997. Carlton has a wide range of experience in the financial services industry, having worked for several firms, including Salomon Smith Barney Inc. and Nationwide Investment Services Corporation. Carlton is registered with FINRA and is licensed to sell securities in Missouri. Carlton offers a variety of financial services to individuals and businesses, including financial planning, portfolio management, and investment consulting. Carlton is committed to providing personalized financial advice to help clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
MO
07/15/2024 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
05/14/2019 - 01/17/2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
03/13/2014 - 01/17/2023
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MO
06/27/2005 - 10/03/2013
SCOTTRADE, INC. (ST. LOUIS MO)
MO
08/13/2001 - 03/24/2005
FFP SECURITIES, INC. (CHESTERFIELD MO)
NY
06/25/1999 - 03/31/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
OH
08/25/1998 - 06/01/1999
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
MA
01/01/1998 - 06/22/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
NA
08/13/1997 - 01/01/1998
NATIONSSECURITIES
MO
01/13/1997 - 08/13/1997
BOATMEN'S INVESTMENT SERVICES, INC. (ST. LOUIS MO)
IA
Issued 03/21/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/07/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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