Carter W. Dunlap

DUNLAP EQUITY MANAGEMENT.

San Francisco, CA 94104

Some features on this profile are disabled

CRD#: 1061270

Professional summary

Carter Wesley Dunlap is a registered financial advisor currently at DUNLAP EQUITY MANAGEMENT, LLC. located in San Francisco, California.

Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Carter has worked at 2 firms and has passed the Series 2 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Wesley Dunlap's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 12, 2012 - Present

DUNLAP EQUITY MANAGEMENT, LLC.

Office #1: 155 Sansome St Suite 810, San Francisco, CA 94104

RIA

CRD#: 130996

San Francisco, CA

Past

October 10, 2002 - December 31, 2011

DUNLAP EQUITY MANAGEMENT, LLC.

RIA

CRD#: 130996

SAN FRANCISCO, CA

Past

August 26, 1982 - November 29, 1984

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/12/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 2

Date: 2/8/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Current Firm

DUNLAP EQUITY MANAGEMENT, LLC.

CRD#: 130996 / SEC#: 801-65244

RIA

Registered Investment Advisory firm - (10/3/2012 Terminated)

California

Registered Investment Advisory firm - (9/12/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

155 Sansome St Suite 810, San Francisco, CA 94104

Mailing Address

Phone number

(415) 568-9600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 79,068,392

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carter W. Dunlap

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Wesley Dunlap's CRS (Customer Relationship Summary).

Certified licenses

Experience

DUNLAP EQUITY MANAGEMENT, LLC.

DUNLAP EQUITY MANAGEMENT, LLC.

ROBERTSON, STEPHENS & COMPANY LLC

State Registrations and Notice Filings

Exams

Series 2

Date: 2/8/1995

Series 7

Date: 8/21/1982

Current Firm

DUNLAP EQUITY MANAGEMENT, LLC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUNLAP EQUITY MANAGEMENT, LLC.

TRUST BUT VERIFY

Similar Advisors