Richard Lee Carlton

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/1995 → 06/2024
  Securities America, Inc.
  Leaburg, OR
• 01/1997 → Present
  Carlton Financial Services, Inc.
  Eugene, OR
• 03/1997 → 06/2024
  Securities America Advisors, Inc.
  Omaha, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  Eugene, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Eugene, OR

Previous Registrations

• 2000-08-03 → 2024-06-14
  Securities America Advisors, Inc.
  Eugene, OR

Other Businesses

FEDERAL BENEFITS CONSULTING, FEDERAL EMPLOYEE BENEFIT ANALYSIS, I AM CONTRACTED THROUGH FEDERAL BENEFITS CONSULTIN, 30% TIME SPENT CARLTON FINANCIAL SERVICES, INC POSITION: licensed insurance agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1997 ADDRESS: 215 Oakway Center, Eugene OR 97402, United States DESCRIPTION: Insurance products including fixed annuities, index annuities through SAI, Indexed UL, Life Insurance, whole life and LTC. CARLTON FINANCIAL SERVICES, INC POSITION: Investment Advisor/President NATURE: SECURITIES AMERICA ADVISORS, INC. - INVESTMENT ADVISOR REPRESENTATIVE-IAR- START DATE 03/1997 LOCATED AT 215 OAKWAY CENTER EUGENE, OR 97401 INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 01/01/1997 ADDRESS: 215 Oakway Center, Eugene OR 97401, United States DESCRIPTION: Managed accounts

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-03-29

Other Names

• Rich Carlton
• Rick Carlton