Charles E. Carleton
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.
Charles Edward Carleton was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1972. Charles had worked at 3 firms and has passed the Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 1988 - December 10, 1991
ALPHAMAX DISTRIBUTORS, L.L.C.
October 9, 1981 - October 25, 1989
CONSECO FINANCIAL SERVICES, INC.
December 12, 1972 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/8/1972
Registered Representative ExaminationCurrent Firm
ALPHAMAX DISTRIBUTORS, L.L.C.
CRD#: 8258 / SEC#: , 8-24931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSBORNE, MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER & CIO, CCO | 2949871 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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