CC
Charles A. Carter
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CRD#: 1099377
CC
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.
Charles Arnold Carter was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. KHC Ruth Limited Partnership / 1220-Present / Investment Related: Yes / 234 Olde Oak Dr, 234 Olde Oak Dr, Georgetown, TX 78633/ Board Member/ Private Rental Property / Hrs Work Monthly: 0 / Sec Trading Hrs: 0 / None 365 STRATEGIES / 1011-Present / Investment Related: No /1001 Congress Ave Ste 150, Austin TX 78701 /Independent Consulting /Political Consulting / Hrs Work Monthly: NA / Sec Trading Hrs: NA / Political consulting, campaign manager RENTAL PROPERTY/ 0615-Present/ Investment Related: NO/234 OLDE OAK, GEORGETOWN, TX 78633/ OWNER / Hrs Work Monthly 5 HRS/ Sec Trading Hrs: 1HR / MONITOR RENTAL PROPERTY FUN FOR LESS TOURS / 0108-Present / Investment Related: No / Draper, UT / Tour Escort / NA / Hrs Work Monthly: 10% / Sec Trading Hrs: 10% / Tour Escort CAG CARTER FAMILY LIMITED PARTNERSHIP / 1005-Present / Investment Related: No / Georgetown, TX/Control Operations of the Fl/ Hrs Work Monthly: 10%/ Sec Trading Hrs: 5%/ Day to day decisions , Administrative, Partnership distribution and work with attorney and CPA to assure all reporting in order CUERO FAMILY PARTNERSHIP INC. /0192-Present / Investment Related: No / Georgetown, TX / President / Hrs Work Monthly: 2% / Sec Trading Hrs: 0% / Maintain books CHARLES CARTER & ASSOC. / 0182-Present / Investment Related: No / Austin & Georgetown, TX / political consulting/ Agricultural Trande Management / Hrs Work Monthly: 20% / Sec Trading Hrs: 20%/ Consulting. Co name: CAG CARTER FAMILY LIMITED PARTNERSHIP /emp dates: 1021 TO PRESENT/ INVESTMENT RELATED: NO /address: GEORGETOWN, TX / position: PRESIDENT/ nature of business: BOARD MEMBER/hrs work monthly: 2/Sec trading hrs: 0/ duties: DEPOSIT ROYALTY CHECK IF ANY, TAX PREPARATION TO CPA IF NEEDED OBA Amendment Update: CAG CARTER FAMILY LIMITED PARTNERSHIP
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 6, 2012 - November 10, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Austin, TX
Past
January 6, 2012 - November 10, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
Austin, TX
Past
July 17, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
AUSTIN, TX
Past
March 2, 2005 - August 25, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
AUSTIN, TX
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
AUSTIN, TX
Past
April 12, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
March 16, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
February 24, 1983 - March 13, 1992
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
