Mitzi W. Carletti
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mitzi Wilson Carletti, who also goes by Mitzi Jean Carletti, Mitzi Jeanne Carletti, Mitzi W Carletti, Mitzi Jean Willsoncarletti, Mitzi J Wilson, Mitzi Jeanne Wilsoncarletti, was a registered financial professional .
Mitzi is a previously registered financial professional and started their career in finance in 1981. Mitzi had worked at 4 firms and has passed the Series 65, Series 63, Series 2, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2021 - February 21, 2023
BADGLEY PHELPS WEALTH MANAGERS
March 19, 1996 - August 1, 2021
BADGLEY PHELPS WEALTH MANAGERS
July 9, 1988 - December 19, 1989
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
December 23, 1981 - April 19, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BADGLEY PHELPS WEALTH MANAGERS
CRD#: 315440 / SEC#: 801-121830
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 2/12/1996
Non-Member General Securities ExaminationSeries 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
BADGLEY PHELPS WEALTH MANAGERS
CRD#: 315440 / SEC#: 801-121830
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,875 |
| AUM (Assets Under Management) | $ 5,902,779,678 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/27/2025 | ||
| 12/11/2024 | ||
| 01/08/2024 | ||
| 10/24/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
