Carl James Pinkard Ii
CFP®Professional Summary
Carl James Pinkard II, CFP®, who also goes by Carl James Pinkard II, is a registered financial advisor currently at ALDRICH WEALTH LP located in Carlsbad, California and PACIFIC COAST CAPITAL, LLC located in Carlsbad, California. Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Carl has worked at 6 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carl James Pinkard Ii
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
AKT WEALTH ADVISORS, LP | ALDRICH WEALTH, LIMITED PARTNERSHIP | ALDRICH WEALTH LP
Contact Information
Main Address
5665 Sw Meadows Rd Suite 200, Lake Oswego, OR 97035Phone Number
(503) 620-5329# of Employees
42SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,477AUM (Assets Under Management)
$7,615,331,850Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AKT WEALTH ADVISORS, LP | ALDRICH WEALTH, LIMITED PARTNERSHIP | ALDRICH WEALTH LP
State Registrations and Notice Filings
(6/10/2008)
(4/10/2020)
(4/10/2020)
(1/8/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Oct 2019About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Aug 2019About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Carl James Pinkard II's CRS (Customer Relationship Summary).
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