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CFP
CC
CFP

Charles Carlton

LPL Financial LLC
40 Years of Experience
Birmingham, AL
Broker
View SEC Summary
View SEC Summary

Charles Carlton is a CFP-designated registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 40 years of industry experience. Charles is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1512 Alex Drive, Birmingham, AL, 35210

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Charles owns rental real estate, operates under the DBA Gambrell Financial Advisors, Inc., and provides tax preparation/accounting services. He is also a notary public, dedicating minimal time to this activity.

Employment History
Current Registrations
LPL Financial LLC
September 2020 - Present · 6 yrs 1 mo
LPL Financial LLCBroker
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Ssn Advisory, INC.
April 2006 - September 2020 · 14 yrs 5 mos
Gambrell Financial Advisors, INC.
January 1995 - August 2006 · 11 yrs 7 mos
Securities Service Network, LLCBroker
December 1994 - September 2020 · 25 yrs 9 mos
Investacorp, INC.Broker
September 1991 - December 1994 · 3 yrs 3 mos
Dean Witter Reynolds INC.Broker
April 1987 - May 1990 · 3 yrs 1 mo
Morgan Keegan & Company, INC.Broker
September 1985 - April 1987 · 1 yr 7 mos
Protective Equity Services, INC.Broker
April 1985 - September 1985 · 5 mos
State Registrations6 states
ALFLGAKYNCTN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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