Carl E. Terzer

CAPVISOR ASSOCIATES

Dawsonville, GA

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CRD#: 1097365

Professional summary

Carl Eric Terzer is a registered financial advisor currently at CAPVISOR ASSOCIATES, LLC located in Dawsonville, Georgia.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Carl has worked at 6 firms and has passed the Series 66, Series 7 and Series 6 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 Carl Eric Terzer's CRS (Customer Relationship Summary).

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

December 4, 2017 - Present

CAPVISOR ASSOCIATES, LLC

RIA

CRD#: 289154

Dawsonville, GA

Past

August 12, 2009 - August 25, 2017

CAPVISOR ASSOCIATES, LLC

RIA

CRD#: 150658

CHATHAM, NJ

Past

January 7, 2008 - September 11, 2008

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

NEW YORK, NY

Past

January 25, 2007 - January 7, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

NEW YORK, NY

Past

December 11, 2006 - September 11, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

NEW YORK, NY

Past

October 1, 2000 - October 17, 2006

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

NEW YORK, NY

Past

April 26, 1983 - August 15, 1988

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPVISOR ASSOCIATES, LLC

CRD#: 289154 / SEC#: 801-110889

RIA

Registered Investment Advisory firm - (7/31/2017 Approved)

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

Georgia
(12/4/2017)

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

State Security Law Exam

IAR

Series 66

Date: 10/29/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/22/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAPVISOR ASSOCIATES, LLC

CRD#: 289154 / SEC#: 801-110889

RIA

Registered Investment Advisory firm - (7/31/2017 Approved)

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Contact information

Main Address

Dawsonville, GA

Mailing Address

P.o. Box #1084, Gainesville, GA 30503

Phone number

(973) 665-6370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (PART 2A OF ADV) 2020 (3/4/2025)

ADV 2B 2020 (3/4/2025)

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 674,371,349

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.

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Carl E. Terzer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Eric Terzer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPVISOR ASSOCIATES, LLC

PRINCIPAL ASSET MANAGEMENT

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

BROWN BROTHERS HARRIMAN & CO.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CAPVISOR ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/1999

Series 7

Date: 10/1/2000

Series 6

Date: 4/22/1983

Current Firm

CAPVISOR ASSOCIATES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPVISOR ASSOCIATES, LLC

TRUST BUT VERIFY

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