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Brett Stephen Carleton

Heritage Wealth Management

Houston, TX

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Current Employers
Heritage Wealth Management

4400 Post Oak Parkway Suite 2510, Houston, TX 77027 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2002-10-14
  • TX RA
    APPROVED
    Since 2002-10-14

Branch Locations

4400 Post Oak Parkway Suite 2510, Houston, TX 77027 • 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
Heritage Wealth Management, Inc. Houston TX 07/2002 Present
  • 07/2002 → Present
    Heritage Wealth Management, Inc.
    Houston, TX
Previous Registrations
  • 2005-12-13 → 2006-04-10
    Osaic Services, Inc.
    Houston, TX
  • 2002-07-11 → 2002-10-31
    Sunamerica Securities, Inc.
    Houston, TX
  • 1990-06-05 → 2002-07-26
    Lutheran Brotherhood Securities Corp.
    Sugar Land, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-02-16
S63 Uniform Securities Agent State Law Examination 1990-05-15
  • S65 Uniform Investment Adviser Law Examination
    1999-02-16
  • S63 Uniform Securities Agent State Law Examination
    1990-05-15
Designations

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

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