Mary K. Carleton

E. A. HORWITZ LLC

BATON ROUGE, LA 70808

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CRD#: 2688042

Professional summary

Mary Kathryn Gerace Carleton, who also goes by Mary G. Carleton, Mary Gerace Carleton, Mary K. Carleton, Mary Kathryn G. Carleton, Mary Kay Carleton, Mary Kay Gerace Carleton, Mary Carleton, is a registered financial advisor currently at E. A. HORWITZ LLC located in Baton Rouge, Louisiana.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mary has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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) Carleton & Company CPAs, A Professional Accounting Corporation; 7648 Picardy Ave., Ste. 100, Baton Rouge, LA 70808; Provide Financial& Estate Planning, Tax Planning, Strategic Business Planning, Tax Preparation; Principal Shareholder 2) MEPS, LLC; Owner of commercial building where Carleton & Company CPAs is located 3) Individual 50% ownership of residential rental property in Prairieville area 4) Individual 33.33% ownership of residential rental property development in Ascension Parish 5) Capital Area Reentry Coalition (CAPARC); Non-Profit; Board Member 6) E.A. Horwitz LLC; Investment-Related; Registered Investment Advisor (RIA); Investment Adviser Representative 7) Sleep Rite PSG, LLC; Non Investment-Related; 1650 Lobdell Ave., Baton Rouge, LA 70806; Polysomnography Sleep Testing Laboratory; Managing Member 8) Dormibene LLC; Non Investment-Related; 8251 Summa Ave., Baton Rouge, LA 70809; Real Estate Rental; 50% Member 9) Public Radio, Inc.; Non Investment-Related; 3050 Valley Creek Dr., Baton Rouge, LA 70808; Chairman of the Board of Directors 10) Estate of Arthur I. Levy Jr.; Non Investment-Related; Executor of Estate

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Gerace 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®

None

Experience

Current

March 25, 2013 - Present

E. A. HORWITZ LLC

Office #1: 7648 Picardy Avenue Suite 100, Baton Rouge, LA 70808

RIA

CRD#: 165561

BATON ROUGE, LA

Past

March 16, 2015 - September 19, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

PASADENA, CA

Past

May 6, 2013 - January 5, 2015

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

BATON ROUGE, LA

Past

October 6, 2010 - March 28, 2013

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

BATON ROUGE, LA

Past

July 29, 2009 - April 3, 2013

INSIGHT SECURITIES, INC.

CRD#: 5611

BATON ROUGE, LA

Past

April 6, 2007 - July 21, 2009

BROAD STREET SECURITIES, INC.

CRD#: 36101

BATON ROUGE, LA

Past

June 2, 2006 - April 3, 2007

IC ADVISORY SERVICES, INC.

RIA

CRD#: 140190

BRIDGEWATER, NJ

Past

June 25, 2003 - June 2, 2006

THE INVESTMENT CENTER, INC.

RIA

CRD#: 17839

BATON ROUGE, LA

Past

May 7, 2003 - April 3, 2007

THE INVESTMENT CENTER, INC.

CRD#: 17839

BATON ROUGE, LA

Past

April 6, 2002 - May 8, 2003

STONEX SECURITIES INC.

CRD#: 18456

BIRMINGHAM, AL

Past

September 8, 2000 - April 6, 2002

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

BIRMINGHAM, AL

Past

February 26, 1996 - September 6, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

E. A. HORWITZ LLC

E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES

CRD#: 165561 / SEC#: 801-77366

RIA

Registered Investment Advisory firm - (11/16/2012 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.

Highlighted states indicate IAR registrations

IAR

Louisiana
(3/25/2013)

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

Series 63

Date: 10/4/1996

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: 2/23/1996

General Securities Representative Examination

Current Firm

E. A. HORWITZ LLC

E. A. HORWITZ LLC | THE HELMSMAN GROUP | HORWITZ & ASSOCIATES

CRD#: 165561 / SEC#: 801-77366

RIA

Registered Investment Advisory firm - (11/16/2012 Approved)

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Contact information

Main Address

1650 Lake Cook Rd. Suite 190, Deerfield, IL 60015

Mailing Address

Phone number

(224) 632-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORWITZ AND ASSOC ADV PART 2 (3/28/2025)

E.A. HORWITZ ADV BROCHURE APPENDIX (3/28/2025)

Regulatory assets under management

Total Number of Accounts	369
AUM (Assets Under Management)	$ 221,419,170

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.

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Advisor Monitoring

Firm Stability Insights

Mary K. Carleton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mary Kathryn Gerace Carleton's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

BROAD STREET SECURITIES, INC.

IC ADVISORY SERVICES, INC.

THE INVESTMENT CENTER, INC.

THE INVESTMENT CENTER, INC.

STONEX SECURITIES INC.

INTL CUSTODY & CLEARING SOLUTIONS INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

E. A. HORWITZ LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/1996

SIE

Date: 10/1/2018

Series 7

Date: 2/23/1996

Current Firm

E. A. HORWITZ LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

E. A. HORWITZ LLC

TRUST BUT VERIFY

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