Carter D Mallett

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2019 → 08/2020
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 10/2018 → 04/2019
  Iowa State University (Parks Library)
  Ames, IA
• 06/2018 → 02/2019
  New York Life
  1615 Sw Main St. Suite 201, IA
• 06/2017 → 08/2018
  R2 Financial Strategies
  4855 Mills Civic Parkway, #200, IA
• 03/2018 → 07/2018
  Kingland Systems
  Ames, IA
• 07/2014 → 04/2018
  City State Bank
  Norwalk, IA
• 08/2020 → 12/2020
  Essential Investment Partners, Llc
  Denver, CO
• 01/2021 → 02/2022
  New York Life Insurance Company
  Ankeny, IA
• 02/2021 → 02/2022
  Nylife Securities Llc
  Ankeny, IA
• 02/2021 → Present
  R2 Financial Strategies
  West Des Moines, IA
• 03/2021 → 02/2022
  Eagle Strategies Llc
  West Des Moines, IA
• 02/2022 → 12/2023
  Commonwealth Financial Network
  San Diego, CA
• 01/2024 → Present
  Commonwealth Financial Network
  San Diego, CA

Previous Registrations

• 2021-03-29 → 2022-02-22
  Eagle Strategies Llc
  West Des Moines, IA

Other Businesses

1. Fixed insurance sales; as of 01/01/2021; 20% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Mallett Financial, LLC, a private entity established to facilitate securities, advisory, and insurance business; as of 02/11/2022; 1% of time spent during business hours; Conducted at branch; Investment related.

Exams

• S66 Uniform Combined State Law Examination
  2021-03-15
• S63 Uniform Securities Agent State Law Examination
  2020-07-09

Other Names

• Carter David Mallett