Carla J. Lawton

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CRD#: 2887866

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carla Jane Lawton, who also goes by Carla Jane Peterson, was a registered financial professional .

Carla is a previously registered financial professional and started their career in finance in 1997. Carla had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carla Jane Peterson

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.) ESG INSURANCE SOLUTIONS LLC - 11/1/2020 - 5255 N Federal Hwy, Suite 310, Boca Raton, FL 33487 - Operations Manager, Running back office of broker general agency, Invt Rel, Insurance business, 40 hrs/mo; 0 hrs/mo (during trading hours). 2.) BROKER'S SERVICE MARKETING ROUP - 5/28/2019 - 500 South Main Street, Providence, RI 02903 - LTC Wholesaler, Insurance Business, Marketing LTC insurance to advisors, 40 hrs/mo; 0 hrs/mo (during trading hours). 3.) TLG ADVISORS, INC - 6/8/2021 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR business, 0 hrs/mo; 0 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 9, 2021 - December 31, 2022

TLG ADVISORS, INC.

RIA

CRD#: 111052

Boca Raton, FL

Past

June 9, 2021 - December 31, 2022

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

September 23, 2019 - December 12, 2019

TLG ADVISORS, INC.

RIA

CRD#: 111052

Providence, RI

Past

September 13, 2019 - December 12, 2019

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

March 17, 2018 - November 30, 2018

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

ACTON, MA

Past

October 20, 2017 - November 30, 2018

CITIZENS SECURITIES, INC.

CRD#: 39550

ACTON, MA

Past

October 9, 2015 - October 25, 2016

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WESTBOROUGH, MA

Past

October 28, 2013 - May 12, 2014

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

AYER, MA

Past

April 26, 2007 - August 1, 2013

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 8, 2004 - April 10, 2007

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

October 1, 2001 - December 19, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

June 30, 1998 - May 25, 2001

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

September 12, 1997 - July 9, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/17/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1997

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: 8/17/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

Phone number

(888) 371-0013

Established

Firm type

Fiscal year end

# of Employees

280

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TLG ADVISORS FORM ADV BROCHURE 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	6,331
AUM (Assets Under Management)	$ 1,948,103,893

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

Carla J. Lawton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE LEADERS GROUP, INC.

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

COMMONWEALTH FINANCIAL NETWORK

THE O.N. EQUITY SALES COMPANY

COMMONWEALTH FINANCIAL NETWORK

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

VERAVEST INVESTMENTS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

TLG ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/17/2018

Series 63

Date: 11/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1998

Series 6

Date: 9/10/1997

Current Firm

TLG ADVISORS, INC.

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLG ADVISORS, INC.

TRUST BUT VERIFY

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