AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CA

Carlton E. Anderson

Some features on this profile are disabled
CRD#: 2946790
CA

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.

Carlton Edwin Anderson, who also goes by Carl Anderson, Carlton Edwin Anderson II, Carlton Edwin Anderson, was a registered financial professional .

Carlton is a previously registered financial professional and started their career in finance in 1999. Carlton had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carl Anderson | Carlton Edwin Anderson Ii | Carlton Edwin Anderson

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)

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

March 31, 2020 - January 27, 2026

THE DOWLING GROUP WEALTH MANAGEMENT

RIA
CRD#: 155624
GREENWICH, CT
Past

March 8, 2018 - December 20, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
GREENWICH, CT
Past

March 8, 2018 - December 20, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
GREENWICH, CT
Past

July 6, 2017 - January 8, 2018

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
DARIEN, CT
Past

July 6, 2017 - January 8, 2018

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
DARIEN, CT
Past

March 25, 2017 - July 10, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
STAMFORD, CT
Past

March 25, 2017 - July 10, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
STAMFORD, CT
Past

September 16, 2009 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
STAMFORD, CT
Past

May 19, 2009 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
STAMFORD, CT
Past

March 2, 2005 - May 18, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
RYE BROOK, NY
Past

October 14, 2004 - January 20, 2005

CARLIN EQUITIES, LLC

BD
CRD#: 31295
NEW YORK, NY
Past

August 14, 2002 - August 3, 2004

UBS CAPITAL MARKETS L.P.

BD
CRD#: 2692
STAMFORD, CT
Past

January 20, 1999 - August 2, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

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".
TD
THE DOWLING GROUP WEALTH MANAGEMENT
DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC

CRD#: 155624 / SEC#: 801-130694

RIA
Registered Investment Advisory firm - (7/23/2024 Approved)
Connecticut
Registered Investment Advisory firm - (9/17/2024 Terminated)
New York
Registered Investment Advisory firm - (8/27/2024 Terminated)

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/14/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/28/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/19/1999
General Securities Representative Examination

Current Firm

TD
THE DOWLING GROUP WEALTH MANAGEMENT
DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC

CRD#: 155624 / SEC#: 801-130694

RIA
Registered Investment Advisory firm - (7/23/2024 Approved)
Connecticut
Registered Investment Advisory firm - (9/17/2024 Terminated)
New York
Registered Investment Advisory firm - (8/27/2024 Terminated)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1171 E. Putnam Avenue, #1b, Greenwich, CT 06878
Mailing Address
Phone number
(203) 967-2231
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DOWLING GROUP FIRM BROCHURE (2/19/2026)

Regulatory assets under management

Total Number of Accounts430
AUM (Assets Under Management)$ 179,269,632

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/17/2025
Cover Page
Report
09/03/2024
Cover Page
Report
03/06/2024
Cover Page
Report
12/12/2023
Cover Page
Report

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.

Company Information

THE DOWLING GROUP WEALTH MANAGEMENT

CRD#: 155624

TRUST BUT VERIFY

Monitor Carlton Anderson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.