Carlton A. Getz

WINTER HARBOR ADVISORS, L.L.C.

Salt Lake City, UT

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CRD#: 5105240

Professional summary

Carlton Alexander Getz is a registered financial advisor currently at WINTER HARBOR ADVISORS, L.L.C. located in Salt Lake City, Utah.

Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Carlton has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

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.

GETZ & ASSOCIATES, INCORPORATED, (HEREINAFTER "G&A"), IS AN INVESTMENT-RELATED COMPANY AT 1504 LONE TREE COURT, P.O. BOX 1284, LAKE SHERWOOD, MISSOURI, 63357. G&A IS THE SOLE MEMBER AND PARENT COMPANY OF WINTER HARBOR ADVISORS, L.L.C., OVERSEES A PROPRIETARY INVESTMENT PORTFOLIO, AND OPERATES AN ONLINE SCRIPOPHILY RETAILER. AS PRESIDENT / SECRETARY OF G&A (SINCE DECEMBER 1995), I OVERSEE DAILY OPERATIONS, RETAIL ACTIVITIES, AND BUSINESS FILINGS. G&A REQUIRES APPROXIMATELY 100 HOURS/MONTH, A PORTION OF WHICH IS DIRECTLY RELATED TO THE OPERATIONS OF G&A'S SUBSIDIARY, WINTER HARBOR ADVISORS, L.L.C. APPROXIMATELY 20% OF THIS TIME IS DURING SECURITIES TRADING HOURS. SPECTRUM ENGINEERS, 175 SOUTH MAIN, SUITE 300, SALT LAKE CITY, UTAH, 84111, IS A CONSULTING ENGINEERING FIRM WHICH I JOINED AS AN ASSOCIATE ENGINEER IN JULY 2006. THIS POSITION REQUIRES APPROXIMATELY 160 HOURS/MONTH, APPROXIMATELY 50% OF WHICH MAY BE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Alexander Getz'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®

None

Experience

Current

July 6, 2006 - Present

WINTER HARBOR ADVISORS, L.L.C.

RIA

CRD#: 139074

Salt Lake City, UT

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

Utah
(7/6/2006)

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: 11/4/2005

Uniform Investment Adviser Law Examination

Current Firm

WINTER HARBOR ADVISORS, L.L.C.

CRD#: 139074 / SEC#:

Utah

Registered Investment Advisory firm - (7/6/2006 Approved)

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Contact information

Main Address

Salt Lake City, UT

Mailing Address

Phone number

(888) 414-6750

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	11
AUM (Assets Under Management)	$ 10,259,347

Red Flags

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Carlton A. Getz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Alexander Getz's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINTER HARBOR ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2005

Current Firm

WINTER HARBOR ADVISORS, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WINTER HARBOR ADVISORS, L.L.C.

TRUST BUT VERIFY

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