Stephen Carlton
Stephen Carlton is a registered investment advisor at Independent Financial Group, LLC, based in Bloomington, MN, with 35 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 44,045 clients with $11B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
IFG offers investment management through various programs, including AccessPoint, Custom Asset Management, and Third Party Asset Managers. Fees are based on a percentage of the value of your account and are negotiable. Transaction charges may also apply. The maximum advisory fee is 3.00% per year. IFG and its IARs may receive additional compensation from product sponsors, which creates a conflict of interest.
Location
7825 Washington Avenue South, Suite 410, Bloomington, MN, 55439
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Regulatory History
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.
Learn about disclosures →Other Business Activities
Stephen is the 100% owner of Carlton Investment Services Group, LLC, a DBA used for marketing purposes. This activity is investment-related and takes nearly full-time.
Employment History
Current Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Previous Registrations
Trademark Financial Management, LLC
Cetera Advisors LLCBroker
Pacific West Securities, INC.Broker
Sentra Securities CorporationBroker
United Pacific Securities, INC.Broker
Manequity, INC.Broker
Consolidated Investment Services, INC.Broker
Vsr Financial Services, INC.Broker
State Registrations25 states
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.