Carlton P. Fletcher
Professional summary
Carlton Perry Fletcher was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carlton is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Carlton had worked at 6 firms, which includes DINOSAUR FINANCIAL GROUP L.L.C, MCGINN SMITH & CO. INC., J.P. TURNER & COMPANY L.L.C., THE REGENCY GROUP INC., R.D. WHITE & CO. INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2010 - April 11, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
June 21, 2002 - December 31, 2009
MCGINN, SMITH & CO., INC.
July 27, 2001 - June 25, 2002
J.P. TURNER & COMPANY, L.L.C.
May 10, 2000 - December 14, 2000
THE REGENCY GROUP, INC.
June 3, 1996 - May 10, 2000
R.D. WHITE & CO., INC.
October 7, 1994 - May 2, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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