James W. Carlton
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.
James Wright Carlton, who also goes by James W Carlton, James Wriight Carlton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2017 - December 31, 2018
COBALT SEA ADVISORS, LLC
February 22, 2017 - May 22, 2017
LPL FINANCIAL LLC
September 22, 2015 - May 22, 2017
LPL FINANCIAL LLC
March 7, 2014 - August 29, 2014
PAULSON INVESTMENT COMPANY LLC
December 17, 1999 - March 16, 2000
SHORELINE TRADING GROUP LLC
March 13, 1997 - December 23, 1997
JOSEPH CHARLES & ASSOC., INC.
January 26, 1996 - March 11, 1997
AUERBACH, POLLAK & RICHARDSON INC.
March 30, 1994 - August 30, 1994
D. BLECH & COMPANY, INCORPORATED
November 19, 1993 - February 10, 1994
A.S. GOLDMEN & CO., INC.
July 14, 1993 - December 7, 1993
VANGUARD CAPITAL
November 8, 1991 - April 20, 1992
LEHMAN BROTHERS INC.
June 18, 1990 - December 24, 1990
CIBC WORLD MARKETS CORP.
May 25, 1988 - June 29, 1990
LEHMAN BROTHERS INC.
March 20, 1987 - June 1, 1988
J.P. MORGAN SECURITIES LLC
October 4, 1984 - March 19, 1985
MICHELIN AND COMPANY, INC.
April 18, 1984 - October 16, 1984
BLACKSTOCK & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
COBALT SEA ADVISORS, LLC
CRD#: 288852 / SEC#:
Contact information
Red Flags
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