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Claude R. Carmichael
CARMICHAEL CREEL INVESTMENTS
FRANKLIN, TN 37064
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CRD#: 710241
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Professional summary
Claude Rudy Carmichael, who also goes by Claude R Carmichael, is a registered financial advisor currently at CARMICHAEL CREEL INVESTMENTS located in Franklin, Tennessee.
Claude is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Claude has worked at 5 firms and has passed the Series 65, Series 63, Series 16, Series 5, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Claude R Carmichael
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.
CRS (Client Relationship Summary) - RIA
Click below to view Claude Rudy Carmichael'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
June 19, 1996 - Present
CARMICHAEL CREEL INVESTMENTS
Office #1: 339 Main Street 2nd Floor, Franklin, TN 37064RIA
CRD#: 118468
FRANKLIN, TN
Past
June 17, 1988 - June 7, 1993
WR LAZARD, LAIDLAW INCORPORATED
BD
CRD#: 6010
Past
September 14, 1987 - June 24, 1988
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
July 25, 1980 - September 17, 1987
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
June 24, 1980 - July 27, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
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CARMICHAEL CREEL INVESTMENTS
CARMICHAEL CAPITAL, INC. | CARMICHAEL CREEL INVESTMENTS
CRD#: 118468 / SEC#: 801-129968
RIA
Registered Investment Advisory firm - (4/24/2024 Approved)California
Registered Investment Advisory firm - (6/13/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (5/14/2024 Terminated)Mississippi
Registered Investment Advisory firm - (5/30/2024 Terminated)New Jersey
Registered Investment Advisory firm - (5/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/21/2024 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2024 Terminated)Texas
Registered Investment Advisory firm - (5/14/2024 Terminated)Virginia
Registered Investment Advisory firm - (5/14/2024 Terminated)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
Tennessee(1/23/2004)
IAR
Texas(4/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/13/1980
Registered Representative ExaminationCurrent Firm
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CARMICHAEL CREEL INVESTMENTS
CARMICHAEL CAPITAL, INC. | CARMICHAEL CREEL INVESTMENTS
CRD#: 118468 / SEC#: 801-129968
RIA
Registered Investment Advisory firm - (4/24/2024 Approved)California
Registered Investment Advisory firm - (6/13/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (5/14/2024 Terminated)Mississippi
Registered Investment Advisory firm - (5/30/2024 Terminated)New Jersey
Registered Investment Advisory firm - (5/23/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/21/2024 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2024 Terminated)Texas
Registered Investment Advisory firm - (5/14/2024 Terminated)Virginia
Registered Investment Advisory firm - (5/14/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
339 Main Street 2nd Floor, Franklin, TN 37064
Mailing Address
Phone number
(615) 595-5825
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 258 |
| AUM (Assets Under Management) | $ 141,877,112 |
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.
