CE
Carlton J. Ebneth
TUCKER ASSET MANAGEMENT LLC
Keansburg, NJ
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CRD#: 3248726
CE
Professional summary
Carlton John Ebneth, who also goes by Carl Ebneth, Carlton Ebneth, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Keansburg, New Jersey.
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 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carl Ebneth | Carlton Ebneth
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) Physicians Wealth Advisory Group - INVESTMENT RELATED - 11 Tropicana Ct, Toms River NJ 08757 - life, health, long term care, disability, non variable annuities insurance - president - 05/2004 - 80 hours - 35 hours - selling insurance related products 2) Ebneth Financial Group - INVESTMENT RELATED - 35 Forest Ave, Keansburg NJ 07734 - life, health, long term care, disability, non variable annuities insurance - president - April 2022 - 80 hours - 35 hours - selling insurance related products
CRS (Client Relationship Summary) - RIA
Click below to view Carlton John Ebneth's 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®
NoneExperience
Current
July 8, 2022 - Present
TUCKER ASSET MANAGEMENT LLC
RIA
CRD#: 174844
Keansburg, NJ
Past
April 7, 2021 - July 11, 2022
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
TOMS RIVER, NJ
Past
December 10, 2019 - July 15, 2020
STONEX ADVISORS INC.
RIA
CRD#: 174182
Keansburg, NJ
Past
December 6, 2019 - July 15, 2020
STONEX SECURITIES INC.
BD
CRD#: 18456
Keansburg, NJ
Past
June 12, 2019 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
BERKELEY, NJ
Past
June 11, 2019 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
January 10, 2017 - December 31, 2017
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
TOMS RIVER, NJ
Past
January 9, 2017 - December 31, 2017
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 2, 2015 - August 31, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
Fairfield, NJ
Past
January 2, 2015 - August 31, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
Fairfield, NJ
Past
June 27, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
FAIRFIELD, NJ
Past
February 24, 2004 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
FAIRFIELD, NJ
Past
August 31, 1999 - March 1, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)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
New Jersey(7/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
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.
