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Scott Alan Carleton

Cambridge Investment Research, Inc.

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About Scott Alan Carleton

Scott Carleton is a financial advisor with over 30 years of experience in the industry. Scott is currently registered with Cambridge Investment Research, Inc. and is licensed to provide investment advice in six states: California, Colorado, Florida, New York, Texas and Virginia. Scott has held a Series 6, 22 and 63 license as well as the SIE since 1986. Prior to joining Cambridge Investment Research, Inc., Scott worked at several other firms, including Signator Investors, Inc., Transamerica Financial Advisors, Inc., AIG Financial Advisors, Inc., SunAmerica Securities, Inc., Thrivent Investment Management Inc. and Lutheran Brotherhood Securities Corp.

Firm Information

Scott Carleton is currently registered with Cambridge Investment Research, Inc.. Cambridge Investment Research, Inc. is a corporation formed in October 1995. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

658

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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Scott Carleton’s Registration & Firm History

TX

06/01/2016 - Present

Cambridge Investment Research, Inc. (New Braunfels TX)

TX

05/13/2016 - 06/07/2016

SIGNATOR INVESTORS, INC. (SAN ANTONIO TX)

TX

03/21/2006 - 05/13/2016

TRANSAMERICA FINANCIAL ADVISORS, INC (SAN ANTONIO TX)

TX

10/31/2005 - 03/27/2006

AIG FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)

AZ

10/25/2002 - 10/31/2005

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

MN

07/01/2002 - 10/31/2002

THRIVENT INVESTMENT MANAGEMENT INC. (MINNEAPOLIS MN)

MN

07/16/1986 - 07/01/2002

LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 07/14/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/1987

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 07/15/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Scott Alan Carleton.
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