CB
Carlton A. Buckley
CETERA INVESTMENT ADVISERS LLC
Heathrow, FL 32746
Some features on this profile are disabled
CRD#: 5359562
CB
Professional summary
Carlton Anthony Buckley JR, who also goes by Carlton A Buckley Jr, Carlton A Buckley, Carlton Anthony Buckley, Curtis A Buckley Jr, Curtis Anthony Buckley Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Heathrow, Florida and CETERA WEALTH SERVICES, LLC located in Heathrow, Florida.
Carlton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Carlton has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlton A Buckley Jr | Carlton A Buckley | Carlton Anthony Buckley | Curtis A Buckley Jr | Curtis Anthony Buckley Jr
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.
(dba) SOLUTIONS GROUP WEALTH MANAGEMENT LLC; Investment Related; Heathrow, FL 32746; Financial Services; Financial Advisor; Start Date 07/2018; 160 hours per month; Offer financial and investment advisory services. I also provide Variable Annuities, Mutual Funds, Stocks, Bonds, Exchange-Traded Funds (ETFs), Financial Planning Services, Insurance sales and service. >> SOLUTIONS GROUP MORTGAGE dba MORTGAGE BROKER; Non-Investment Related; Heathrow, FL 32746; Mortgage; Relations Officer; Start Date 01/2021; 10 Hours Per Month with those 10 hours per month occurring during trading hours; My role is to communicate referrals between the accounting firm and the mortgage department and to oversee the mortgage CRM to ensure accuracy. >> THE CURTIS ANTHONY GROUP; Investment Related; Lake Mary, FL 32746; Financial Services; Senior Financial Advisor; Start Date 07/2018; 50 hours per month; Provide financial advice and client reviews. >> THE CURTIS ANTHONY GROUP; Investment Related; 369 Lakewood Court, Lake Mary FL 32746; Financial Services; 1) Senior Financial Advisor; Start Date 07/2018; 50 hours per month; Provide financial advice and client reviews. 2) Agent; Start Date 07/2018; 10 hours per month with those 10 hours per month occurring during trading hours; Life insurance sales and service. 3) President; Start Date 01/2022; 40 hours per month with 8 of those hours per month occurring during trading hours; Ownership of LLC for tax purposes. >> NOTARY; Non-Investment Related; Lake Mary, FL 32746; Other; Notary; Start Date 01/2022; 5 hours per month with those 5 hours per month occurring during trading hours; Notary services provided to our accounting firm at no charge. >> SOLUTIONS GROUP WEALTH MANAGEMENT; Investment Related; Heathrow, FL; Insurance; Sr Financial Advisor/Partner; Start Date 03/2024; 10 hours per month; Recommendation and sale of annuity as well as life insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Carlton Anthony Buckley JR'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®
NoneExperience
Current
February 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1275 Lake Heathrow Lane, Heathrow, FL 32746RIA
CRD#: 105644
Heathrow, FL
Current
January 31, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1275 Lake Heathrow Lane, Heathrow, FL 32746BD
CRD#: 13572
Heathrow, FL
Past
July 3, 2018 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Heathrow, FL
Past
July 2, 2018 - February 21, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Heathrow, FL
Past
June 1, 2017 - June 29, 2018
KOVACK SECURITIES INC.
BD
CRD#: 44848
Winter Park, FL
Past
November 8, 2013 - July 3, 2018
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
RIA
CRD#: 131631
WINTER PARK, FL
Past
November 1, 2013 - June 8, 2017
CAPITAL GUARDIAN, LLC
BD
CRD#: 137919
WINTER PARK, FL
Past
November 8, 2007 - November 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HEATHROW, FL
Past
September 27, 2007 - November 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HEATHROW, FL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
RR
California(2/21/2025)
RR
Connecticut(9/24/2025)
RR
Florida(1/31/2025)
IAR
Florida(2/6/2025)
RR
Georgia(2/21/2025)
RR
Hawaii(2/21/2025)
RR
Illinois(3/11/2025)
RR
Kansas(2/21/2025)
RR
Louisiana(3/31/2025)
RR
Maine(4/10/2025)
RR
Maryland(9/22/2025)
RR
North Carolina(4/2/2025)
RR
Ohio(8/7/2025)
RR
Oklahoma(5/27/2025)
RR
Pennsylvania(8/26/2025)
RR
South Carolina(2/21/2025)
RR
Texas(5/27/2025)
IAR
Texas(5/28/2025)
RR
Virginia(4/29/2025)
RR
Washington(2/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
