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Detailed Report
Carleton Wesley McDonald
Carlston W McDonald, Carlton W McDonald Sr
CRD#: 5743829
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 435 Pisgah Church Rd
Greensboro, NC 27455
Registration History
2010201220142016201820202022202420262 FIRMS2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2010 - 2023 (13 years)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2012 - 2023 (11 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2012 (<1 year)
License(s)

State Registrations

B
Arizona 2/27/2024
B
Oregon 8/9/2024
B
California 6/6/2024
B
South Carolina 5/15/2024
B
Connecticut 11/28/2023
B
Tennessee 6/6/2024
B
Florida 5/13/2024
B
Texas 11/16/2023
B
Louisiana 1/27/2025
IA
Texas 11/16/2023
B
Maryland 6/6/2024
B
Virginia 12/1/2023
B
New York 7/2/2024
B
Wisconsin 6/6/2024
B
North Carolina 11/16/2023
B
Wyoming 5/16/2024
IA
North Carolina 11/27/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
435 Pisgah Church Rd, Greensboro, NC 27455
2931 Sherman Oak Pl, Raleigh, NC 27609
Registered with this firm since 11/16/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
435 Pisgah Church Rd, Greensboro, NC 27455
2931 Sherman Oak Pl, Raleigh, NC 27609
Registered with this firm since 11/16/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
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 06/19/2012 - 10/25/2023 SCHWAB WEALTH ADVISORY, INC. (CRD#:159035) Phoenix, AZ
B
 03/30/2010 - 10/25/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
IA
 07/20/2011 - 06/19/2012 CHARLES SCHWAB & CO., INC. (CRD#:5393) Phoenix, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.