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Samantha Lee Carleton

Columbia Management Investment Distributors, Inc.

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About Samantha Lee Carleton

Samantha Carleton is a financial advisor with Columbia Management Investment Distributors, Inc. She has been in the industry since December 1997. Samantha has experience working with various financial firms including TIAA-CREF, State Street Global Markets, LLC, and William M. Mercer Securities Corp. Samantha has also worked with Baybanks Brokerage Services, Inc. and Wellington Sales Corp. Samantha is licensed to sell securities in all 50 states.

Firm Information

Samantha Carleton is currently registered with Columbia Management Investment Distributors, Inc.. Columbia Management Investment Distributors, Inc. is a corporation formed in April 1978. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in at least one civil event.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Samantha Carleton’s Registration & Firm History

NY

05/01/2010 - Present

Columbia Management Investment Distributors, Inc. (NEW YORK NY)

MA

11/22/2006 - 05/01/2010

COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (BOSTON MA)

MA

05/03/2005 - 11/20/2006

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (BOSTON MA)

MA

06/28/2001 - 10/28/2004

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

IL

01/31/2000 - 05/14/2001

WILLIAM M. MERCER SECURITIES CORP. (CHICAGO IL)

MA

09/03/1997 - 02/17/2000

WELLINGTON SALES CORP. (BOSTON MA)

NA

05/22/1996 - 09/24/1996

BAYBANKS BROKERAGE SERVICES, INC.

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Licenses & Designations

BC

Issued 06/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/09/2013

Series 30 - NFA Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/05/2012

Series 3 - National Commodity Futures Examination

BC

Issued 05/21/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Samantha Lee Carleton.
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