Scott C. Carlton

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CRD#: 5244095

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Charles Carlton, who also goes by Scott Charles Carlton, Scott Carlton, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2006. Scott had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott Charles Carlton | Scott Carlton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2018 - April 24, 2023

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

Plano, TX

Past

October 15, 2018 - April 24, 2023

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

Denton, TX

Past

August 15, 2017 - May 25, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FRISCO, TX

Past

July 19, 2017 - May 25, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FRISCO, TX

Past

November 20, 2015 - June 23, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PLANO, TX

Past

November 13, 2015 - June 23, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PLANO, TX

Past

March 5, 2014 - April 7, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

DALLAS, TX

Past

January 23, 2012 - April 7, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

DALLAS, TX

Past

July 2, 2008 - July 30, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

November 5, 2007 - April 9, 2008

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ATLANTA, GA

Past

October 26, 2007 - April 9, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

ATLANTA, GA

Past

March 20, 2007 - October 8, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MARIETTA, GA

Past

March 9, 2007 - October 8, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MARIETTA, GA

Past

January 9, 2007 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ATLANTA, GA

Past

December 19, 2006 - February 21, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ATLANTA, GA

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 1/8/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2006

General Securities Representative Examination

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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.

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Advisor Monitoring

Firm Stability Insights

Scott C. Carlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

E*TRADE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2007

SIE

Date: 5/25/2018

Series 7

Date: 12/18/2006

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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