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CP

Carl J. Pinkard

ALDRICH WEALTH LP
CARLSBAD, CA 92008
Some features on this profile are disabled
CRD#: 4596300
CP

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 7, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carl James Pinkard Ii

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) AKT Services, LLP; not investment related; 680 Hawthorne Ave #140, Salem, OR 97301; HOLDING COMPANY; Principal; 2013; 0 hours/month; Duties: N/A. (2) Aldrich Capital Advisors LP; M&A Consulting & Investment Banking, 1903 Wright Place, Suite 180, Carlsbad, CA 92008; Business Affiliate; 2019; 5 hours/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl James Pinkard II'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®
CFP®

Certified Financial Planner

Start date: 2005

Experience

Current

June 10, 2008 - Present

ALDRICH WEALTH LP

Office #1: 1903 Wright Place Suite 180, Carlsbad, CA 92008
RIA
CRD#: 147200
CARLSBAD, CA
Current

April 10, 2020 - Present

PACIFIC COAST CAPITAL, LLC

Office #1: 1903 Wright Place Suite 180, Carlsbad, CA 92008
BD
CRD#: 304602
Carlsbad, CA
Past

May 18, 2007 - July 9, 2008

AKT WEALTH ADVISORS, LP

RIA
CRD#: 108769
CARLSBAD, CA
Past

October 3, 2006 - May 18, 2007

GLT WEALTH ADVISORS INC

RIA
CRD#: 109102
CARLSBAD, CA
Past

March 8, 2004 - August 15, 2006

FINANCIAL PLANNING FOR GENERATIONS, INC.

RIA
CRD#: 130582
WESTLAKE VILLAGE, CA
Past

January 2, 2003 - October 31, 2003

LPL FINANCIAL LLC

RIA
CRD#: 6413
CAMARILLO, CA
Past

November 28, 2002 - October 31, 2003

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

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".
AW
ALDRICH WEALTH LP
AKT WEALTH ADVISORS, LP | ALDRICH WEALTH, LIMITED PARTNERSHIP | ALDRICH WEALTH LP

CRD#: 147200 / SEC#: 801-69190

RIA
Registered Investment Advisory firm - (5/27/2008 Approved)

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

IAR
California
(6/10/2008)
RR
California
(4/10/2020)
RR
Oregon
(4/10/2020)
IAR
Texas
(1/8/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/23/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/7/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/19/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/2019
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/16/2019
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AW
ALDRICH WEALTH LP
AKT WEALTH ADVISORS, LP | ALDRICH WEALTH, LIMITED PARTNERSHIP | ALDRICH WEALTH LP

CRD#: 147200 / SEC#: 801-69190

RIA
Registered Investment Advisory firm - (5/27/2008 Approved)
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Contact information

Main Address
5665 Sw Meadows Rd Suite 200, Lake Oswego, OR 97035
Mailing Address
Phone number
(503) 620-5329
Established
Firm type
Fiscal year end
# of Employees
46

SEC notice filing (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ALDRICH WEALTH FORM ADV 2A_2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts2,435
AUM (Assets Under Management)$ 6,466,230,295

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

ALDRICH WEALTH LP

CRD#: 147200Carlsbad, CA 92008

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