Jeffrey C. Carleton
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.
Jeffrey Curtis Carleton, who also goes by Jeff Carleton, Jeffrey Curtis Carlton, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1985. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 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
November 10, 2010 - May 31, 2016
P.J. ROBB VARIABLE, LLC
January 24, 2007 - February 5, 2009
HORNOR, TOWNSEND & KENT, LLC
October 15, 2004 - March 3, 2006
HIMCO DISTRIBUTION SERVICES COMPANY
April 17, 2003 - September 17, 2004
MML DISTRIBUTORS, LLC
September 27, 1991 - December 16, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 27, 1991 - December 16, 2002
OSAIC FA, INC.
December 21, 1989 - September 23, 1991
MONARCH SECURITIES, INC.
November 26, 1985 - February 15, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 26, 1985 - February 15, 1990
EQUITABLE ADVISORS, LLC
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
Current Firm
P.J. ROBB VARIABLE, LLC
CRD#: 38339 / SEC#: , 8-48197
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRUMP LIFE INSURANCE SERVICES, LLC | OWNER | |
| COLLINS, HEATHER MARIE | ASSISTANT TREASURER AND PRINCIPAL OPERATIONS OFFICER | 5851459 |
| CORDLE, COYE BAXTER III | CHIEF COMPLIANCE OFFICER, AML OFFICER & PRIVACY OFFICER | 4544954 |
| HARRISON, BRUCE ANDREW | PRESIDENT, CEO AND CHAIRMAN OF THE BOARD / DIRECTOR | 2232934 |
| MERCHANT, JEFFREY S | CHIIEF FINANCIAL OFFICER / TREASURER / PRINCIPAL FINANCIAL OFFICER / DIRECTOR | 4668892 |
| SCHUYLER, JOHN EDWIN | SECRETARY AND DIRECTOR | 1056044 |
| STAHLNECKER, ERIN ELIZABETH | ALTERNATE PRINCIPAL OPERATIONS OFFICER | 6606934 |
Red Flags
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