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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Carlton Forrester

Advisor at STEPHENS

ATLANTA, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 22, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STEPHENS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 22, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: May 19, 2009
First registration: Jan 22, 2003
Dual registered: yes, broker-dealer
Other names: CARLTON MONTGOMERY FORRESTER
IAPD individual key: 4510788

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Stephens	Bd affiliated wealth	Sep 15, 2025	n/a	yes	ATLANTA, GA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 12, 2021	Sep 11, 2025	no	Atlanta, GA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Dec 9, 2015	Mar 26, 2021	no	ATLANTA, GA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Apr 6, 2015	Dec 22, 2015	no	ATLANTA, GA	Previous registration
EDGE ADVISORS, LLC	Former SEC adviser	Apr 7, 2009	Jan 4, 2010	no	ATLANTA, GA	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 22, 2003	May 7, 2004	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	Stephens	Sep 11, 2025	Sep 15, 2025	4	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	J.P. MORGAN SECURITIES LLC	Mar 26, 2021	Apr 12, 2021	17	Firm change	Wirehouse to wirehouse
CREDIT SUISSE SECURITIES (USA) LLC	UBS FINANCIAL SERVICES INC.	Dec 22, 2015	Dec 9, 2015	-13	Bulk transfer	Other
EDGE ADVISORS, LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 4, 2010	Apr 6, 2015	1,918	Firm change after gap	Other
CREDIT SUISSE SECURITIES (USA) LLC	EDGE ADVISORS, LLC	May 7, 2004	Apr 7, 2009	1,796	Firm change after gap	Other

Relationships

Registered with (5)

→ STEPHENSRegistered adviserregistration: current employment
Sep 15, 2025 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 12, 2021 to Sep 11, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Dec 9, 2015 to Mar 26, 2021factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Apr 6, 2015 to Dec 22, 2015factForm ADV
→ EDGE ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 7, 2009 to Jan 4, 2010factForm ADV

Dated events

Occurred
Sep 11, 2025
Advisor changed firm
Carlton Forrester left J.P. Morgan Securities Llc for Stephens (registered 2025-09-15)
Form ADVobserved 4 days ago