Burton E. 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.
Burton Ellis Carter, who also goes by Burt Carter, was a registered financial professional .
Burton is a previously registered financial professional and started their career in finance in 1983. Burton had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2003 - August 17, 2023
J.W. COLE FINANCIAL, INC.
June 21, 2000 - September 5, 2003
JONATHAN ROBERTS FINANCIAL GROUP, INC.
July 18, 1994 - June 23, 2000
1ST GLOBAL CAPITAL CORP.
January 13, 1993 - July 18, 1994
FIVE STAR RESOURCES, INC.
October 27, 1992 - January 4, 1993
AVANTAX INVESTMENT SERVICES, INC.
July 16, 1987 - October 2, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
June 24, 1983 - July 7, 1987
LPL FINANCIAL LLC
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
