Peter F. Carleton

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CRD#: 1412997

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.

Peter Francis Carleton, who also goes by Pete Carleton, Peter Carleton, was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1985. Peter had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pete Carleton | Peter Carleton

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 27, 2016 - July 26, 2018

VALLEY WEALTH MANAGERS, INC.

RIA

CRD#: 108879

New York, NY

Past

June 30, 2004 - October 7, 2016

CHARLES SCHWAB & CO., INC.

CRD#: 5393

NEW YORK CITY, NY

Past

October 10, 2000 - September 3, 2002

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Past

October 27, 1993 - September 25, 2000

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

June 26, 1989 - June 28, 1990

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

February 22, 1988 - July 5, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 25, 1985 - February 24, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1993

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 10/10/1985

National Commodity Futures Examination

Current Firm

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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Contact information

Main Address

80 East Ridgewood Ave Suite 3, Paramus, NJ 07652

Mailing Address

Phone number

(888) 794-7940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWM FORM ADV PART 2A (3/28/2025)

VWM WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,957
AUM (Assets Under Management)	$ 2,317,257,859

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
09/07/2023	Cover Page	Report
10/04/2022	Cover Page	Report

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

Peter F. Carleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

AFD, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

FINANCIAL SQUARE PARTNERS

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

VALLEY WEALTH MANAGERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2016

Series 63

Date: 8/25/1993

SIE

Date: 10/7/2016

Series 7

Date: 1/31/1995

Series 6

Date: 8/20/1993

Series 3

Date: 10/10/1985

Current Firm

VALLEY WEALTH MANAGERS, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VALLEY WEALTH MANAGERS, INC.

TRUST BUT VERIFY

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