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JC

Jay D. Carlington

ABERDEEN FUND DISTRIBUTORS
Philadelphia, PA 19103
Some features on this profile are disabled
CRD#: 4543700
JC

Professional summary

Jay Dalton Carlington is a registered financial professional currently at ABERDEEN FUND DISTRIBUTORS, LLC located in Philadelphia, Pennsylvania.

Jay is registered as a RR (Registered Representative) and started their career in finance in 2005. Jay has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Jay Dalton Carlington'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

December 11, 2018 - Present

ABERDEEN FUND DISTRIBUTORS, LLC

Office #1: 1900 Market Street Suite 200, Philadelphia, PA 19103
BD
CRD#: 146230
Philadelphia, PA
Past

March 31, 2017 - December 10, 2018

STANDARD LIFE INVESTMENTS SECURITIES LLC

BD
CRD#: 157233
BOSTON, MA
Past

April 2, 2015 - December 19, 2016

GREEN STREET

RIA
CRD#: 172378
NEWPORT BEACH, CA
Past

February 4, 2013 - December 15, 2014

GREEN STREET TRADING, LLC

BD
CRD#: 28937
NEWPORT BEACH, CA
Past

September 5, 2005 - August 1, 2012

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/17/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/2/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ABERDEEN FUND DISTRIBUTORS, LLC
ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230 / SEC#: , 8-67799

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Contact information

Main Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Mailing Address
1900 Market Street Suite 200, Philadelphia, PA 19103
Phone number
(215) 405-5700
Established
Delaware since 10/31/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ABRDN, INC.SOLE MEMBER
DUNN, STEVEN BOYDCHIEF EXECUTIVE OFFICER2203356
HETTEL, KENDRA ANNACHIEF COMPLIANCE OFFICER6164999
KIRSCHENBLATT, CHAD ETHANCHIEF FINANCIAL OFFICER/FINOP2503352

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.

Company Information

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230Philadelphia, PA 19103

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