Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlton? Claim Your ProfileCarlton Lee Lucas is a financial advisor who has been in the industry since April 29, 2003. Carlton is currently registered with Tiaa-Cref Individual & Institutional Services, LLC and has been with the firm since September 4, 2015. Carlton has been involved in the financial services industry for over 20 years and has held various roles at different firms. Previous to his current role at Tiaa-Cref Individual & Institutional Services, LLC, Carlton worked at Newport Group Securities, Inc. and Securities America, Inc. Carlton holds the Series 6, Series 63, and SIE licenses, demonstrating his commitment to providing comprehensive financial advice. Carlton's expertise and experience enable him to provide tailored solutions to meet the unique needs of a variety of clients, including high-net-worth individuals, corporations, and charitable organizations.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Compensation from affiliates
1
2
NC
09/04/2015 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
FL
07/18/2012 - 08/21/2015
NEWPORT GROUP SECURITIES, INC. (LAKE MARY FL)
FL
10/10/2008 - 06/03/2011
NEWPORT GROUP SECURITIES, INC. (LAKE MARY FL)
NC
10/31/2006 - 04/07/2008
SECURITIES AMERICA, INC. (CHARLOTTE NC)
NC
02/09/2001 - 04/12/2006
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BC
Issued 01/05/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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