Carl Preston Eshelman
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 Spokane, 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
QUANTUM SOLUTIONS, INC | QUANTUM SOLUTIONS, INC.
Contact Information
Main Address
Lacey, WAMailing Address
9119 Classic Drive Ne, Lacey, WA 98516-9247Phone Number
(360) 491-0757# of Employees
1Documents
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/14/2018)
(5/31/2018)
(10/27/1995)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Dec 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1983About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Carl Preston Eshelman's CRS (Customer Relationship Summary).
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