Phyllis H. Carlton

CARLTON ADVISORS

Lake Oswego, OR

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CRD#: 4593318

Professional summary

Phyllis H Carlton, CFP® is a registered financial advisor currently at CARLTON ADVISORS, LLC located in Lake Oswego, Oregon.

Phyllis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Phyllis has worked at 2 firms and has passed the Series 65 exam.

Core Areas of Focus

Corporate Executives

Estate & Generational Planning Issues

High Net Worth Client Needs

Investment Advice without Ongoing Management

Retirement Planning & Distribution Rules

Women's Financial Planning Issues

Biography

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Phyllis Carlton is a graduate of the University of Washington School of Business Administration (Finance and Accounting) and Pacific Coast Banking School.  
Phyllis is a CFP (R) certificant and an active member in the Financial Planning Association of Oregon and Southwest Washington.

Question & Answer

What are your service offerings?

Estate Planning

Employee and Employer Plan Ben...

Investment Planning

Comprehensive Financial Planni...

Retirement Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Phyllis H Carlton'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®

CFP^®

RIA

CRD#: 109397

PORTLAND, OR

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

Oregon
(2/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/27/1999

Uniform Investment Adviser Law Examination

Current Firm

CARLTON ADVISORS, LLC

CRD#: 136419 / SEC#:

Oregon

Registered Investment Advisory firm - (2/9/2023 Approved)

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Contact information

Main Address

West Linn, OR

Mailing Address

Phone number

(503) 704-4566

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

(xxx) xxx-xxxx

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Phyllis H. Carlton

Professional summary

Core Areas of Focus

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phyllis H Carlton's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARLTON ADVISORS, LLC

CARLTON ADVISORS, LLC

CARLTON ADVISORS, LLC

CARLTON ADVISORS, LLC

CMC ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/1999

Current Firm

CARLTON ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

CARLTON ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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