Robert R. Carter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Randolph Carter, who also goes by Bob Carter, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - May 12, 2016
LION STREET FINANCIAL, LLC
May 14, 2013 - October 4, 2013
WFG INVESTMENTS, INC.
May 18, 2011 - December 20, 2012
WALNUT STREET SECURITIES, INC.
June 18, 1997 - March 26, 2010
KESTRA INVESTMENT SERVICES, LLC
November 14, 1991 - June 19, 1997
WOODBURY FINANCIAL SERVICES, INC.
August 26, 1985 - December 31, 1989
CONSECO FINANCIAL SERVICES, INC.
July 15, 1982 - February 25, 1985
THE O.N. EQUITY SALES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
