Carl J. Settles
Professional summary
Carl Jefferson Settles III, AIF®, who also goes by C.j. Settles, Carl J Settles III, Carl J Settles, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Conyers, Georgia.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Carl has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carl Jefferson Settles III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2021 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
March 22, 2011 - January 29, 2021
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
April 30, 2009 - November 9, 2010
BB&T ASSET MANAGEMENT, INC.
July 27, 2004 - March 23, 2005
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/25/2021)
Exams
Current Firm
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632 / SEC#: 801-61492
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 11,649,896,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 01/30/2024 | ||
| 01/26/2023 |
Red Flags
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