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Detailed Report
BRETT STEPHEN CARLETON
CRD#: 2058241
IA
Investment Adviser
HERITAGE WEALTH MANAGEMENTCRD#: 122394 4400 POST OAK PARKWAY
SUITE 2510
HOUSTON, TX 77027
Registration History
19901995200020052010201520202025IAHERITAGE WEALTH MANAGEMENT (CRD# 122394)2002 - Present (22 years)IAAIG FINANCIAL ADVISORS, INC. (CRD# 133763)2005 - 2006 (<1 year)IASUNAMERICA SECURITIES, INC. (CRD# 20068)2002 - 2002 (<1 year)IALUTHERAN BROTHERHOOD SECURITIE... (CRD# 4205)1990 - 2002 (12 years)
License(s)

State Registrations

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Texas 10/14/2002
Current Registration(s)
IA
HERITAGE WEALTH MANAGEMENT (CRD#:122394)
4400 POST OAK PARKWAY SUITE 2510, HOUSTON, TX 77027
Registered with this firm since 10/14/2002
Previous Registration(s)
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 12/13/2005 - 04/10/2006 AIG FINANCIAL ADVISORS, INC. (CRD#:133763) HOUSTON, TX
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 07/11/2002 - 10/31/2002 SUNAMERICA SECURITIES, INC. (CRD#:20068) HOUSTON, TX
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 06/05/1990 - 07/26/2002 LUTHERAN BROTHERHOOD SECURITIES CORP (CRD#:4205) SUGAR LAND, TX
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.