Carlton E. Dixon
Professional summary
Carlton Elmer Dixon JR, who also goes by Carl Dixon, Carlton Elmer Jr Dixon, is a registered financial advisor currently at SAPERE WEALTH MANAGEMENT, LLC located in Matthews, North Carolina.
Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Carlton has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carlton Elmer Dixon JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2005 - Present
SAPERE WEALTH MANAGEMENT, LLC
Office #1: 130 Matthews Sta Street #2-a, Matthews, NC 28105December 10, 2004 - November 16, 2010
SAPERE WEALTH CREATION, LLC
March 16, 2004 - December 15, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 31, 2003 - December 15, 2004
NORTHWESTERN MUTUAL TRUST COMPANY
December 10, 1986 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 24, 1984 - December 15, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
SAPERE WEALTH MANAGEMENT, LLC
CRD#: 119598 / SEC#: 801-61056
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/28/2005)
Exams
Current Firm
SAPERE WEALTH MANAGEMENT, LLC
CRD#: 119598 / SEC#: 801-61056
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 252 |
| AUM (Assets Under Management) | $ 346,213,230 |
Red Flags
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