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Sm Carlton Advisory CRD 310381
$1.85M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
Astoria, NY • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-26 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwell Health Foundation | New Hyde Park | NY | 05/2019 | Present |
| Nyu Langone Health | New York | NY | 03/2017 | 05/2019 |
| Northwell Health Foundation | New Hyde Park | NY | 01/2015 | 03/2017 |
NorthwelL Health Foundation. This organization is not investment related. The address is 2000 Marcus Avenue, New Hyde Park, NY 11042 The Northwell Health Foundation is the philanthropic arm of Northwell Heath, which is a nonprofit hospital system My position is Special Gifts Officer for the Cohen Children's Medical Center There is no relationship to SM Carlton Advisory I work full-time at the Northwell Health Foundation, from 9am to 5pm, which is 40 hours per week and 160 hours per month. My role at SM Carlton Advisory is in addition to my paid time working at the Northwell Health Foundation. All of my clients know and understand that I have a full-time job working for the Northwell Health Foundation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-07-25 |
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