Edward C. Carlton

GENEROUSWEALTH

SUMMERVILLE, SC 29483

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CRD#: 2394365

Professional summary

Edward Clade Carlton, who also goes by Ed Carlton Sr, Edward Clade Carlton Sr, Edward Carlton, is a registered financial advisor currently at GENEROUSWEALTH, LLC located in Summerville, South Carolina and LPL FINANCIAL LLC located in Summerville, South Carolina.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ed Carlton Sr | Edward Clade Carlton Sr | Edward 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Clade 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®

None

Experience

Current

August 26, 2020 - Present

GENEROUSWEALTH, LLC

Office #1: 105 S Cedar Street, Suite D, Summerville, SC 29483

RIA

CRD#: 308263

SUMMERVILLE, SC

Current

August 26, 2015 - Present

LPL FINANCIAL LLC

Office #1: 105 S. Cedar Street, Unit D, Summerville, SC 29483

RIA

CRD#: 6413

SUMMERVILLE, SC

Past

August 26, 2015 - September 22, 2020

INDEPENDENT ADVISOR ALLIANCE, LLC

RIA

CRD#: 168267

SUMMERVILLE, SC

Past

September 24, 2007 - September 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NORTH CHARLESTON, SC

Past

September 20, 2007 - September 1, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NORTH CHARLESTON, SC

Past

January 2, 2002 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHARLESTON, SC

Past

November 22, 1995 - October 2, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHARLESTON, SC

Past

November 6, 1995 - January 2, 2002

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

July 8, 1994 - November 13, 1995

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

October 4, 1993 - July 27, 1994

F.N. WOLF & CO., INC.

CRD#: 13051

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.

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

Alabama
(11/27/2015)

California
(8/26/2015)

Florida
(8/26/2015)

IAR

Louisiana
(9/22/2020)

North Carolina
(1/23/2021)

South Carolina
(8/26/2015)

IAR

South Carolina
(8/26/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GENEROUSWEALTH, LLC

COMPASS INVESTMENT ADVISORS, LLC | MONEYDOVE | GENEROUSWEALTH, LLC

CRD#: 308263 / SEC#:

Georgia

Registered Investment Advisory firm - (11/16/2020 Approved)

Louisiana

Registered Investment Advisory firm - (9/22/2020 Approved)

New York

Registered Investment Advisory firm - (1/29/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (9/30/2020 Approved)

South Carolina

Registered Investment Advisory firm - (8/25/2020 Approved)

Texas

Registered Investment Advisory firm - (9/4/2020 Conditional Restricted)

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).

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Contact information

Main Address

105 S Cedar Street, Suite D, Summerville, SC 29483

Mailing Address

Phone number

(843) 376-3544

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	579
AUM (Assets Under Management)	$ 95,823,417

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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Edward C. Carlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Clade Carlton's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEROUSWEALTH, LLC

LPL FINANCIAL LLC

INDEPENDENT ADVISOR ALLIANCE, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

DICKINSON & CO.

F.N. WOLF & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/1996

Series 63

Date: 10/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1993

FINRA

Current Firm

GENEROUSWEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GENEROUSWEALTH, LLC

TRUST BUT VERIFY

Contact information

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