Our Team

Richard L. Carlton

Rick has over 18 years of experience in the financial services industry and oversees the supervision of $27 million in client assets. He holds the FINRA Series 7 General Securities License and is a registered respresentative with Securities America, Inc., an independent broker dealer with over 1,700 financial professionals nationwide. He is also an investment advisor respresentative with Securities America Adviors, Inc., an SEC registered investment advisor. Rick uses a comprehensive approach with his clients, taking into consideration their unique financial goals and situation. He is experienced in all facets of investment and financial planning and specializes in the area of retirement planning and income distribution.

Diana Carlton

Diana is a wife and business partner to Rick and handles all office management functions. Her role ensures that the office runs smoothly and efficiently so that clients are afforded the best possible service every day. She is instrumental in making sure that everyone has the best possible tools, systems and processes so that they can devote their time to what's most important -our clients.