Brett S. Carleton

HERITAGE WEALTH MANAGEMENT

Houston, TX 77027

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CRD#: 2058241

Professional summary

Brett Stephen Carleton, CFP®, ChFC® is a registered financial advisor currently at HERITAGE WEALTH MANAGEMENT located in Houston, Texas.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Brett has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

What are your service offerings?

Tax Planning

Comprehensive Financial Planni...

Education Planning

Estate Planning

Investment Planning

Insurance Planning

Retirement Planning

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Stephen Carleton's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1993

ChFC^®

Chartered Financial Consultant

Experience

Current

October 14, 2002 - Present

HERITAGE WEALTH MANAGEMENT

Office #1: 4400 Post Oak Parkway Suite 2510, Houston, TX 77027

RIA

CRD#: 122394

Houston, TX

Past

December 13, 2005 - April 10, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

HOUSTON, TX

Past

October 31, 2005 - April 10, 2006

OSAIC SERVICES, INC.

CRD#: 133763

HOUSTON, TX

Past

July 11, 2002 - October 31, 2002

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

HOUSTON, TX

Past

July 2, 2002 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 1, 2002 - July 25, 2002

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

June 5, 1990 - July 26, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

RIA

CRD#: 4205

SUGAR LAND, TX

Past

May 18, 1990 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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".

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(10/14/2002)

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: 2/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/16/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/6/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/28/2002

General Securities Principal Examination

Current Firm

HERITAGE WEALTH MANAGEMENT

HERITAGE WEALTH MANAGEMENT | HERITAGE WEALTH MANAGEMENT, INC.

CRD#: 122394 / SEC#: 801-107506

RIA

Registered Investment Advisory firm - (3/25/2016 Approved)

Texas

Registered Investment Advisory firm - (4/28/2016 Terminated)

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Contact information

Main Address

4400 Post Oak Parkway Suite 2510, Houston, TX 77027

Mailing Address

Phone number

(713) 871-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HWM ADV 2A (3/11/2025)

HWM WRAP FEE BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	755
AUM (Assets Under Management)	$ 313,072,495

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.

Contact information

xxxxx@xxxx.xxx

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Brett S. Carleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Stephen Carleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

SUNAMERICA SECURITIES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

HERITAGE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/1999

Series 63

Date: 5/15/1990

Series 7

Date: 4/16/1998

Series 6

Date: 5/17/1990

Series 53

Date: 12/6/2004

Series 24

Date: 10/28/2002

Current Firm

HERITAGE WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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