CC
Carleton W. Crockett
FLAGSHIP HARBOR ADVISORS
Hyannis,, MA 02601
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CRD#: 2008965
CC
Professional summary
Carleton William Crockett is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Hyannis,, Massachusetts and LPL FINANCIAL LLC located in Hyannis, Massachusetts.
Carleton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Carleton has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) 09/2023 - CROCKETT AND ASSOCIATES / Business Entity For Tax/Investment Purposes Only / Not Inv. Related / Yarmouth MA / Start date 01/01/1988 - 20 Hrs per month / 2% Time Spent 2) 09/2023 - Non-Variable Insurance / Agent / Inv. Related / Hyannis, MA / Start date / 10/02/2023 - 10 Hrs per month / 2% Time Spent 3) 09/2023 - Flagship Harbor Advisors. LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 4) 11/07/2023 - Flagship Harbor Advisors - Registered Investment Advisor - Advisor - Investment Related - At Reported Business Location(s) - Start Date 10/02/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in 11/1/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Carleton William Crockett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 3, 2023 - Present
FLAGSHIP HARBOR ADVISORS, LLC
Office #1: 349 Main Street 2nd Floor, Hyannis,, MA 02601RIA
CRD#: 155733
Hyannis,, MA
Current
November 2, 2023 - Present
LPL FINANCIAL LLC
Office #1: 349 Main Street 2nd Floor, Hyannis, MA 02601RIA
BD
CRD#: 6413
Hyannis, MA
Past
December 4, 2017 - November 3, 2023
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
Hyannis, MA
Past
October 20, 2017 - November 3, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
Hyannis, MA
Past
February 13, 1991 - October 24, 2017
PFS INVESTMENTS INC.
BD
CRD#: 10111
HYANNIS, MA
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".
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/2/2023)
RR
Colorado(11/2/2023)
RR
Connecticut(11/2/2023)
RR
Florida(11/2/2023)
RR
Indiana(11/2/2023)
IAR
Massachusetts(11/3/2023)
RR
Massachusetts(11/6/2023)
RR
Michigan(11/2/2023)
RR
New Hampshire(11/2/2023)
RR
New York(11/2/2023)
RR
North Carolina(11/9/2023)
RR
Pennsylvania(2/29/2024)
RR
Rhode Island(11/2/2023)
RR
South Carolina(11/2/2023)
RR
Texas(9/29/2025)
RR
Vermont(11/2/2023)
RR
Virginia(11/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FLAGSHIP HARBOR ADVISORS, LLC
3MERITUS WEALTH MANAGEMENT | TRESTLEBRIDGE CAPITAL | TINKHAM WEALTH MANAGEMENT | THRIVE WEALTH STRATEGIES | THORNE FINANCIAL PARTNERS | SHEVLIN WEALTH MANAGEMENT | SHEPARD FINANCIAL | SEASHORE FINANCIAL | SCHRUMM FINANCIAL | RISING TIDE CAPITAL | PARKER WEALTH MANAGEMENT | PARADIGM PRIVATE WEALTH | NORTHERN PEAK WEALTH MANAGEMENT | NORTHERN PEAK FINANCIAL | MUNROE MORROW WEALTH MANAGEMENT | MIRICA WEALTH | MCGUIGAN FINANCIAL | MAITLAND FINANCIAL GROUP | LAURENZ FINANCIAL | KEFAUVER FINANCIAL PLANNING & WEALTH MANAGEMENT | KARRIS & CO. | INTEGRITAS FINANCIAL ADVISORS | GOLDSON FINANCIAL | FLAGSHIP HARBOR ADVISORS, LLC | FIELDSTONE WEALTH MANAGEMENT | FENTON FINANCIAL GROUP | CURRENCY CAMP | CONCIERGE WEALTH MANAGEMENT | CHARTHOUSE CAPITAL | BRANDT WEALTH ADVISORS | BERRY MANAGEMENT, LLC | BERGSTRESSER FINANCIAL | AVERY WEALTH MANAGEMENT | ATLAS PRIVATE WEALTH ADVISORS | ARC FINANCIAL | ANDREASEN FINANCIAL
CRD#: 155733 / SEC#: 801-71997
RIA
Registered Investment Advisory firm - (12/8/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
346 Commercial Street, Boston, MA 02109
Mailing Address
Phone number
(857) 350-4229
Established
Firm type
Fiscal year end
# of Employees
60
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733Hyannis,, MA 02601TRUST BUT VERIFY
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