Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Carlton is a financial advisor with over 30 years of experience in the industry. Stephen is a Registered Representative with Independent Financial Group, LLC, and a Registered Investment Advisor with the state of Minnesota. Stephen has a strong background in providing financial planning, portfolio management, and pension consulting services to a variety of clients, including individuals, businesses, and charitable organizations. Prior to joining Independent Financial Group, LLC, Stephen has worked at Pacific West Securities, Inc., Sentra Securities Corporation, United Pacific Securities, Inc., Consolidated Investment Services, Inc., and VSR Financial Services, Inc. Stephen holds a Series 6, Series 22, Series 63, and Series 65 licenses.
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.
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.
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2
MN
07/15/2024 - Present
Independent Financial Group, LLC (BLOOMINGTON MN)
MN
02/28/2012 - 10/01/2013
CETERA ADVISORS LLC (EDINA MN)
MN
10/22/2002 - 02/28/2012
PACIFIC WEST SECURITIES, INC. (EDINA MN)
AZ
11/16/1998 - 11/06/2002
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
CA
02/08/1995 - 11/16/1998
UNITED PACIFIC SECURITIES, INC. (CARLSBAD CA)
CO
06/05/1991 - 02/13/1995
CONSOLIDATED INVESTMENT SERVICES, INC. (LITTLETON CO)
MA
06/25/1991 - 12/31/1991
MANEQUITY, INC. (BOSTON MA)
KS
06/25/1990 - 04/05/1991
VSR FINANCIAL SERVICES, INC. (OVERLAND PARK KS)
IA
Issued 08/30/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/1990
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 06/21/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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