CARILLON TOWER ADVISERS, INC. of ST PETERSBURG, FL is an SEC-registered investment adviser (CRD 174904). Regulatory assets under management: $16.9B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| James Willard Wolfe | DIRECTOR; EXECUTIVE VICE PRESIDENT, DIRECTOR | Fairfax, VA |
| Edward Rick Iv | DIRECTOR | — |
| Damian Daniel Sousa | CHIEF COMPLIANCE OFFICER; DIRECTOR | — |
| Eric Christian Wilwant | CHIEF OPERATING OFFICER, DIRECTOR | — |
| Susan Lavelle Walzer | CARILLON FUNDS PRESIDENT; DIRECTOR | — |
| Thomas Alan James | DIRECTOR | — |
| JAMES THOMAS ALAN | DIRECTOR | — |
| JAMES CROFT W | DIRECTOR | — |
| ROSSI RICHARD JOHN | DIRECTOR; PRESIDENT, CO-COO, DIRECTOR | — |
| WALZER SUSAN LAVELLE | CARILLON FUNDS PRESIDENT; DIRECTOR | — |
| SOUSA DAMIAN DANIEL | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, DIRECTOR; DIRECTOR | — |
| ABBOTT JAMES COOPER | CHAIRMAN, PRESIDENT, DIRECTOR; CO-COO, DIRECTOR; PRESIDENT, DIRECTOR | — |
| WILWANT ERIC CHRISTIAN | CHIEF ADMIN OFFICER; CHIEF ADMIN OFFICER, DIRECTOR; CHIEF OPERATING OFFICER, DIRECTOR | — |
| KENDALL ROBERT DANIEL | CHAIRMAN, PRESIDENT, DIRECTOR; PRESIDENT, DIRECTOR | — |
| RICK IV EDWARD | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-05-18 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, RAYMOND JAMES AND ASSOCIATES (HEREIN, "THE FIRM") CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO ESTABLISH AND IMPLEMENT POLICIES AND PROCEDURES TO REASONABLY DETECT AND CAUSE THE REPORTING OF SUSPICIOUS TRANSACTIONS. THE FINDINGS… | Final | $17.0M |
| 1995-03-01 | regulatory | RENDERED INVESTMENT ADVICE THROUGH USE OF UNREGISTERED AGENTS | Final | $13K |
| — | regulatory | — | — | — |