James 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 Carlton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2021 - November 30, 2023
INFINITY FINANCIAL SERVICES
January 7, 2019 - April 29, 2020
ALAMO CAPITAL
September 1, 2017 - January 4, 2019
R.W. SMITH & ASSOCIATES, LLC
August 24, 1992 - September 6, 2017
BUTLER MUNI, LLC
December 24, 1991 - April 21, 1992
YOUR DISCOUNT BROKER, INC.
May 18, 1989 - March 12, 1990
BARNETT INVESTMENTS, INC.
June 5, 1987 - October 17, 1988
BARNETT INVESTMENTS, INC.
December 22, 1986 - April 14, 1987
CENTRE/FOUR SECURITIES, INC.
August 21, 1986 - December 12, 1986
E. F. HUTTON & COMPANY INC
August 4, 1986 - August 26, 1986
F.D. ROBERTS SECURITIES, INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
INFINITY FINANCIAL SERVICES
CRD#: 144302 / SEC#: , 8-67647
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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