Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlton? Claim Your ProfileCarlton Patton is a financial professional based in Covington, KY. Carlton has been in the financial industry since March 18, 2015 and currently holds a Series 6 license and a Series 63 license, as well as a SIE license. Carlton is registered to offer securities in Oklahoma and Texas through Investment Distributors, Inc.. Carlton was previously registered with Prudential Annuities Distributors, Inc, CUNA Brokerage Services, Inc., Transamerica Capital, Inc., and Northwestern Mutual Investment Services, LLC.
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.
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.
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2
KY
06/28/2023 - Present
Investment Distributors, Inc. (Covington KY)
CT
07/15/2022 - 06/23/2023
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
IA
12/16/2020 - 06/10/2022
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
CO
09/29/2015 - 10/14/2020
TRANSAMERICA CAPITAL, INC. (DENVER CO)
TX
12/02/2014 - 09/21/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (DALLAS TX)
BC
Issued 09/03/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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