Carl P. Eshelman

QUANTUM SOLUTIONS

LACEY, WA

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CRD#: 1158289

Professional summary

Carl Preston Eshelman is a registered financial advisor currently at QUANTUM SOLUTIONS, INC. located in Lacey, Washington and NORTHWEST INVESTMENT ADVISORS, INC. located in Lacey, Washington.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carl has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) QUANTUM SOLUTIONS, INC (RIA). 9119 CLASSIC DRIVE NE, LACEY, WA 985I6. PRESIDENT, CEO. INVESTMENT ADVISOR REP - FINANCIAL PLANNING, INVESTMENT MGMT FOR INDIVIDUALS, BUSINESS AND ESTATE PLANNING, RETIREMENT PLAN INVESTMENT RELATED SERVICES. 30 TO 40 HRS/WEEK 2) INGERSOLL & ASSOC - DBA WASHINGTON BROKERAGE, SEATTLE, WA. SELLS FIXED LIFE AND HEALTH INSURANCE, 10 TO 20 HRS/MO, START 12/2009, 3) INDEPENDENT SALES REP APPROVED TO OFFER LIFE SETTLEMENTS ON A CASE-BY-CASE BASIS, INVESTMENT-RELATED, START 07/2010. 4) NORTHWEST INVESTMENT ADVISORS, SPOKANE, WA, REGISTERED REPRESENTATIVE, SELLS POOLED INVESTMENTS, VARIABLE LIFE AND VARIABLE ANNUITIES, 10 TO 2O HRS/MO. START APRIL 2018.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Preston Eshelman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 27, 1995 - Present

QUANTUM SOLUTIONS, INC.

RIA

CRD#: 118309

LACEY, WA

Current

May 31, 2018 - Present

NORTHWEST INVESTMENT ADVISORS, INC.

Office #1: 1401 Marvin Road Ne, Suite 307, Lacey, WA 98509

RIA

CRD#: 109737

Lacey, WA

Past

December 12, 2017 - June 4, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

Lacey, WA

Past

May 13, 2016 - June 4, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

Lacey, WA

Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ISSAQUAH, WA

Past

October 31, 2002 - November 18, 2002

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

KENT, WA

Past

January 22, 2002 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

KENT, WA

Past

July 18, 2001 - December 31, 2001

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

October 31, 2000 - February 28, 2001

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

Past

January 14, 1999 - October 31, 2000

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

March 15, 1995 - December 31, 1998

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

June 6, 1988 - April 6, 1995

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

October 11, 1983 - September 29, 1988

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/14/2018)

California
(5/31/2018)

Virginia
(6/18/2018)

IAR

Washington
(10/27/1995)

Washington
(6/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/23/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/30/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/10/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/9/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/13/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

QUANTUM SOLUTIONS, INC.

QUANTUM SOLUTIONS, INC | QUANTUM SOLUTIONS, INC.

CRD#: 118309 / SEC#:

Washington

Registered Investment Advisory firm - (9/28/1995 Approved)

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Contact information

Main Address

Lacey, WA

Mailing Address

1401 Marvin Road Ne Suite 307, Lacey, WA 98516-5710

Phone number

(360) 491-0757

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Carl P. Eshelman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Preston Eshelman's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST INVESTMENT ADVISORS, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TOWER SQUARE SECURITIES, INC.

SLD AMERICA EQUITIES, INC.

KMS FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

CINCINNATI ANALYSTS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 22

Date: 12/30/1983

Series 6

Date: 10/10/1983

Series 51

Date: 6/9/2003

Series 24

Date: 3/13/1996

FINRA

Current Firm

QUANTUM SOLUTIONS, INC.

Contact information

Documents

Red Flags

Company Information

QUANTUM SOLUTIONS, INC.

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