Eric W. Carlton
Professional summary
Eric W Carlton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Eric had worked at 6 firms, which includes BROOKSTREET SECURITIES CORPORATION, CROWELL WEEDON & CO., SMART INVESTMENTS ADVISORY INCORPORATED, THE SEIDLER COMPANIES INCORPORATED, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2007 - March 5, 2007
BROOKSTREET SECURITIES CORPORATION
January 10, 2007 - March 5, 2007
BROOKSTREET SECURITIES CORPORATION
December 7, 2006 - December 19, 2006
CROWELL, WEEDON & CO.
December 7, 2006 - December 19, 2006
CROWELL, WEEDON & CO.
March 10, 2005 - December 7, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
March 10, 2005 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
February 1, 2001 - February 24, 2005
UBS FINANCIAL SERVICES INC.
January 12, 2001 - February 24, 2005
UBS FINANCIAL SERVICES INC.
August 10, 1998 - January 22, 2001
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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