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Carlton Forrester

Stephens

Atlanta, GA

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Current Employers
Stephens

111 Center St, Little Rock, AR 72201 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-09-15
TX RA APPROVED 2025-09-15
  • GA RA
    APPROVED
    Since 2025-09-15
  • TX RA
    APPROVED
    Since 2025-09-15

Branch Locations

3344 Peachtree Road, Atlanta, GA 30326 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Atlanta GA 12/2015 03/2021
Jpmorgan Chase Bank Na Atlanta GA 04/2021 Present
Jpmorgan Securities Llc Atlanta GA 04/2021 Present
Stephens Atlanta GA 09/2025 Present
  • 12/2015 → 03/2021
    Ubs Financial Services Inc.
    Atlanta, GA
  • 04/2021 → Present
    Jpmorgan Chase Bank Na
    Atlanta, GA
  • 04/2021 → Present
    Jpmorgan Securities Llc
    Atlanta, GA
  • 09/2025 → Present
    Stephens
    Atlanta, GA
Previous Registrations
  • 2021-04-12 → 2025-09-11
    J.P. Morgan Securities Llc
    Atlanta, GA
  • 2015-12-09 → 2021-03-26
    Ubs Financial Services Inc.
    Atlanta, GA
  • 2015-04-06 → 2015-12-22
    Credit Suisse Securities (Usa) Llc
    Atlanta, GA
  • 2009-04-07 → 2010-01-04
    Edge Advisors, Llc
    Atlanta, GA
  • 2003-01-22 → 2004-05-07
    Credit Suisse Securities (Usa) Llc
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-02
S65 Uniform Investment Adviser Law Examination 2009-05-19
  • S66 Uniform Combined State Law Examination
    2015-04-02
  • S65 Uniform Investment Adviser Law Examination
    2009-05-19
Other Names
  • Carlton Montgomery Forrester

View on SEC IAPD

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Other Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
HB WEALTH · ATLANTA, GA
BISON WEALTH, LLC · ATLANTA, GA
BRIGHTER INVESTING, PB LLC · ATLANTA, GA
RBC CAPITAL MARKETS, LLC · Atlanta, GA
HB WEALTH · Atlanta, GA
AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA
NEWEDGE ADVISORS · Atlanta, GA

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