Charles Bennett Carlton

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 05/1990 → 08/2017
  North Ala United Methodist Foundation In
  Birmingham, AL
• 12/1994 → 09/2020
  Securities Service Network, Inc.
  Birmingham, AL
• 10/1991 → 09/2020
  Gambrell Financial Advisors, Inc.
  Birmingham, AL
• 01/2006 → 09/2020
  Ssn Advisory, Inc.
  Birmingham, AL
• 09/2020 → Present
  Lpl Financial
  Birmingham, AL

Previous Registrations

• 2006-04-20 → 2020-09-02
  Ssn Advisory, Inc.
  Birmingham, AL
• 1995-01-19 → 2006-08-01
  Gambrell Financial Advisors, Inc.
  Birmingham, AL

Other Businesses

1) 2/1992 - Real Estate Rental - Investment Related - 400 Miller Circle Indian Springs AL 35124 2) 9/2020 - DBA for LPL Business (entity for LPL business) - Gambrell Financial Advisors, Inc. - Investment Related - Birmingham AL 35210 3) 1/2010 - Tax Prep/Accounting/CPA - Charles Carlton - Investment Related - 400 Miller Circle Indian Springs, AL 35124 4) 07/23/2024 - Other - Notary - Alabama, Jefferson County, Notary Public - Investment Related - At Reported Business Location(s) - Start Date 08/24/2023 - 0 Hours Per Month/ During Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-06-03

Designations

• Certified Financial Planner

Other Names

• Charlie Carlton