JC
John R. Cartledge
AURORA PRIVATE WEALTH
Miami, FL
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CRD#: 4017958
JC
Professional summary
John R Cartledge, who also goes by John R. Cartledge, is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Miami, Florida and APW CAPITAL, INC. located in Miami, Florida.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John R. Cartledge
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) Cartledge Foundation, Inc.; Savannah, GA; Service Description: Private charitable foundation; Start date: Not employed, but an outside investment; Title: Secretary; Duties: Take notes at our meetings; Time spent: 1%. (2) Cartledge Family Limited Partnership; Savannah GA; family limited partnership funded by RR's parents; Duties: financial adviser for the partnership's liquidity; Title: Limited Partner. (3) Aurora Private Wealth, Inc.; Rockaway, NJ; Service Description: This RIA provides Charles Schwab Advisor trading platform and compliance services to me; Stat date: 6/17/2018; Title: Investment Advisor, Time Spent: 40 hrs per week; Duties: provide investment advisor services.
CRS (Client Relationship Summary) - RIA
Click below to view John R Cartledge'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
January 29, 2018 - Present
AURORA PRIVATE WEALTH, INC.
RIA
CRD#: 281604
Miami, FL
Current
January 18, 2018 - Present
APW CAPITAL, INC.
Office #1: 1800 Ne 114th Street Suite 606, Miami, FL 33181BD
CRD#: 43814
Miami, FL
Past
March 3, 2009 - November 17, 2017
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AVENTURA, FL
Past
January 5, 2009 - November 17, 2017
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AVENTURA, FL
Past
November 16, 1999 - January 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AVENTURA, FL
Past
November 11, 1999 - January 27, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AVENTURA, FL
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".
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(1/19/2018)
RR
Florida(1/19/2018)
IAR
Florida(1/29/2018)
RR
Georgia(1/19/2018)
RR
Washington(1/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Enterprise Drive Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 395,308,639 |
Red Flags
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