Carlton E. Anderson

THE DOWLING GROUP WEALTH MANAGEMENT

Greenwich, CT 06878

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CRD#: 2946790

Professional summary

Carlton Edwin Anderson, who also goes by Carl Anderson, Carlton Edwin Anderson II, Carlton Edwin Anderson, is a registered financial advisor currently at THE DOWLING GROUP WEALTH MANAGEMENT located in Greenwich, Connecticut.

Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carlton has 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"?

Yes

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) - RIA

Click below to view Carlton Edwin Anderson'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 31, 2020 - Present

THE DOWLING GROUP WEALTH MANAGEMENT

Office #1: 1171 E. Putnam Avenue, #1b, Greenwich, CT 06878

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

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

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

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.

CRD#: 14251

STAMFORD, CT

Past

March 2, 2005 - May 18, 2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RYE BROOK, NY

Past

October 14, 2004 - January 20, 2005

CARLIN EQUITIES, LLC

CRD#: 31295

NEW YORK, NY

Past

August 14, 2002 - August 3, 2004

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

January 20, 1999 - August 2, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

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".

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)

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).

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

Connecticut
(3/31/2020)

IAR

New York
(12/11/2021)

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: 9/14/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/28/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/19/1999

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DOWLING GROUP FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 165,628,233

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Carlton E. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Edwin Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CARLIN EQUITIES, LLC

UBS CAPITAL MARKETS L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Primary Firm SEC Registration

THE DOWLING GROUP WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2009

Series 63

Date: 3/17/1999

SIE

Date: 10/1/2018

Series 55

Date: 6/28/1999

Series 7

Date: 1/19/1999

Current Firm

THE DOWLING GROUP WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THE DOWLING GROUP WEALTH MANAGEMENT

TRUST BUT VERIFY

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