SC
Stephen R. Carlton
INDEPENDENT FINANCIAL GROUP
Bloomington, MN 55439
Some features on this profile are disabled
CRD#: 2057583
SC
Professional summary
Stephen Robert Carlton, who also goes by Steve Carlton, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Bloomington, Minnesota.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Carlton
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) CARLTON INVESTMENT SERVICES GROUP, LLC POSITION: Agent/Representative NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 880 SECURITIES TRADING HOURS: 880 START DATE: 01/01/1990 ADDRESS: 7301 Ohms Lane, Suite 535, Edina MN 55439, United States DESCRIPTION: 100% OWNER OF DBA USED FOR MARKETING PURPOSES
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Robert Carlton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Robert Carlton'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
September 30, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 7825 Washington Avenue South Suite 410, Bloomington, MN 55439RIA
BD
CRD#: 7717
Bloomington, MN
Current
September 30, 2013 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 7825 Washington Avenue South Suite 410, Bloomington, MN 55439RIA
BD
CRD#: 7717
Bloomington, MN
Past
September 3, 2012 - November 14, 2013
TRADEMARK FINANCIAL MANAGEMENT, LLC
RIA
CRD#: 116543
EDINA, MN
Past
February 28, 2012 - October 1, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
EDINA, MN
Past
October 22, 2002 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
EDINA, MN
Past
November 16, 1998 - November 6, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
February 8, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
June 25, 1991 - December 31, 1991
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
June 5, 1991 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
LITTLETON, CO
Past
June 25, 1990 - April 5, 1991
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
Arizona(9/30/2013)
RR
California(9/30/2013)
RR
Colorado(11/14/2013)
RR
District of Columbia(5/30/2019)
RR
Florida(9/30/2013)
RR
Georgia(11/13/2013)
RR
Kansas(9/30/2013)
RR
Massachusetts(6/11/2018)
RR
Michigan(8/13/2025)
RR
Minnesota(9/30/2013)
IAR
Minnesota(2/9/2015)
RR
Missouri(4/4/2018)
RR
Montana(9/30/2013)
RR
Nevada(5/21/2020)
RR
New Jersey(6/11/2014)
RR
New Mexico(9/30/2013)
RR
New York(8/24/2023)
RR
North Carolina(4/12/2023)
RR
North Dakota(7/18/2017)
RR
Ohio(9/30/2013)
RR
Oklahoma(4/23/2025)
RR
Oregon(7/7/2021)
RR
Rhode Island(8/24/2021)
RR
South Dakota(9/30/2013)
RR
Texas(7/15/2024)
IAR
Texas(7/15/2024)
RR
Utah(5/3/2017)
RR
Wisconsin(9/30/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
