Carlton Whitman

TASSEL CAPITAL MANAGEMENT

MATTHEWS, NC 28105

CRD#: 6375955

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Professional summary

Carlton Whitman, CFP® is a registered financial advisor currently at TASSEL CAPITAL MANAGEMENT, INC located in Matthews, North Carolina.

Carlton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Carlton has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlton Whitman'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: 2017

Experience

Current

May 15, 2015 - Present

TASSEL CAPITAL MANAGEMENT, INC

Office #1: 1220 Mann Drive Suite 100, Matthews, NC 28105

RIA

CRD#: 121112

MATTHEWS, NC

Past

September 11, 2014 - February 18, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

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".

TASSEL CAPITAL MANAGEMENT, INC

CRD#: 121112 / SEC#: 801-120382

RIA

Registered Investment Advisory firm - (2/25/2021 Approved)

Alabama

Registered Investment Advisory firm - (3/1/2021 Terminated)

Georgia

Registered Investment Advisory firm - (11/30/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (3/16/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (3/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(5/15/2015)

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: 5/15/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/18/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2014

General Securities Representative Examination

Current Firm

TASSEL CAPITAL MANAGEMENT, INC

CRD#: 121112 / SEC#: 801-120382

RIA

Registered Investment Advisory firm - (2/25/2021 Approved)

Alabama

Registered Investment Advisory firm - (3/1/2021 Terminated)

Georgia

Registered Investment Advisory firm - (11/30/2020 Terminated)

North Carolina

Registered Investment Advisory firm - (3/16/2021 Terminated)

South Carolina

Registered Investment Advisory firm - (3/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2008 Terminated)

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Contact information

Main Address

1220 Mann Drive Suite 100, Matthews, NC 28105

Mailing Address

Phone number

(704) 814-6780

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A AND 2B (1/26/2026)

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 266,028,959

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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Carlton Whitman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

TASSEL CAPITAL MANAGEMENT, INC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

TASSEL CAPITAL MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2015

Series 63

Date: 10/17/2014

SIE

Date: 2/18/2015

Series 7

Date: 9/11/2014

Current Firm

TASSEL CAPITAL MANAGEMENT, INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TASSEL CAPITAL MANAGEMENT, INC

TRUST BUT VERIFY

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