Todd W. Carter

INVESTOR FAN

BOTHELL, WA

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CRD#: 1122956

Professional summary

Todd William Carter is a registered financial advisor currently at INVESTOR FAN located in Bothell, Washington.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Todd has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 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 Todd William Carter'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

July 1, 2024 - Present

INVESTOR FAN

RIA

CRD#: 159301

BOTHELL, WA

Past

November 22, 2013 - February 17, 2021

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

BELLEVUE, WA

Past

February 7, 2012 - February 15, 2021

TRUTINA FINANCIAL

RIA

CRD#: 148866

BELLEVUE, WA

Past

February 6, 2012 - October 31, 2013

SIGNATOR FINANCIAL SERVICES, INC.

CRD#: 19061

BELLEVUE, WA

Past

June 2, 2005 - February 3, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

BELLEVUE, WA

Past

June 2, 2005 - February 3, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

BELLEVUE, WA

Past

January 22, 2002 - June 8, 2005

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

WEST PALM BECH, FL

Past

March 31, 1999 - June 8, 2005

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 25, 1997 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

October 8, 1990 - May 6, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 24, 1988 - October 22, 1990

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 21, 1988 - January 23, 1989

OLD STONE SECURITIES COMPANY

CRD#: 15665

Past

December 2, 1986 - April 28, 1988

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

Past

October 21, 1985 - November 14, 1986

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

Past

August 8, 1985 - September 27, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

April 19, 1983 - August 12, 1985

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

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".

INVESTOR FAN

CRD#: 159301 / SEC#: 801-111660

RIA

Registered Investment Advisory firm - (9/11/2017 Approved)

California

Registered Investment Advisory firm - (12/7/2017 Terminated)

Idaho

Registered Investment Advisory firm - (11/7/2017 Terminated)

Montana

Registered Investment Advisory firm - (11/7/2017 Terminated)

Oregon

Registered Investment Advisory firm - (12/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2017 Terminated)

Washington

Registered Investment Advisory firm - (11/15/2017 Terminated)

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).

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

Washington
(7/1/2024)

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 65

Date: 6/17/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/24/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/2024

General Securities Principal Examination

Current Firm

INVESTOR FAN

CRD#: 159301 / SEC#: 801-111660

RIA

Registered Investment Advisory firm - (9/11/2017 Approved)

California

Registered Investment Advisory firm - (12/7/2017 Terminated)

Idaho

Registered Investment Advisory firm - (11/7/2017 Terminated)

Montana

Registered Investment Advisory firm - (11/7/2017 Terminated)

Oregon

Registered Investment Advisory firm - (12/8/2017 Terminated)

Texas

Registered Investment Advisory firm - (11/7/2017 Terminated)

Washington

Registered Investment Advisory firm - (11/15/2017 Terminated)

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Contact information

Main Address

Boise, ID

Mailing Address

Phone number

(425) 372-7517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A_05-13-25 (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,515
AUM (Assets Under Management)	$ 427,729,824

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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Advisor Monitoring

Firm Stability Insights

Todd W. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd William Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

TRUTINA FINANCIAL

SIGNATOR FINANCIAL SERVICES, INC.

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

A. G. EDWARDS & SONS, INC.

CIBC WORLD MARKETS CORP.

OLD STONE SECURITIES COMPANY

CAPITAL BROKERAGE CORPORATION

PACIFIC WEST SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

PACIFIC WEST SECURITIES, INC.

Primary Firm SEC Registration

INVESTOR FAN

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2024

Series 63

Date: 5/3/1983

Series 7TO

Date: 3/24/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/16/1983

Series 24

Date: 3/24/2024

Current Firm

INVESTOR FAN

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVESTOR FAN

TRUST BUT VERIFY

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