Charles L. Bradley

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CRD#: 1157140

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 Lee Bradley, who also goes by Lee Bradley, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lee Bradley

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)

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®

None

Experience

Past

May 30, 2018 - December 31, 2025

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

April 12, 2011 - June 4, 2018

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

Suwanee, GA

Past

October 12, 2009 - November 4, 2010

COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258

DULUTH, GA

Past

October 22, 2007 - March 14, 2008

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

AUSTIN, TX

Past

October 2, 2007 - June 24, 2009

COMMERCE STREET CAPITAL, LLC

CRD#: 143797

DULUTH, GA

Past

May 19, 2006 - October 1, 2007

SAMCO CAPITAL MARKETS, INC.

CRD#: 136532

DULUTH, GA

Past

December 14, 2005 - May 19, 2006

PENSON FINANCIAL SERVICES, INC.

CRD#: 25866

DALLAS, TX

Past

June 24, 1991 - September 30, 1994

CLEARING SERVICES OF AMERICA, INC.

CRD#: 23623

ST. LOUIS, MO

Past

March 6, 1991 - May 28, 1991

FIRST ATLANTA SECURITIES, LLC

CRD#: 18200

DESTIN, FL

Past

January 31, 1985 - August 15, 1990

ATLANTA SECURITIES & INVESTMENTS, INC.

CRD#: 15762

Past

August 24, 1983 - May 23, 1984

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

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".

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/28/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/17/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/1984

General Securities Principal Examination

Current Firm

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3340 Peachtree Road Suite 1400 Suite 1400, Atlanta, GA 30326

Mailing Address

3340 Peachtree Road Suite 1400, Atlanta, GA 30326

Phone number

(404) 364-2070

Established

Georgia since 03/12/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CARTER TERRY INVESTOR BROCHURE (3/25/2025)

HASPEL BROCHURE SUPPLEMENT (3/25/2025)

CARTER TERRY WRAP BROCHURE (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST ATLANTA FINANCIAL SERVICES, INC.	OWNER
CARTER, BELFIELD HOWELL JR	GS / CHAIRMAN	41990
LASCO, ELIZABETH D	CCO/CCO ADV	2506654
MONTET, KRISTIN WALSH	SROP/ CROP / MP/ MS/ GS / FN / CFO	1084500
TERRY, TIMOTHY JOE	PRESIDENT/CEO	1051586

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 111,326,459

Disclosures

Regulatory Event	3
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.

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Advisor Monitoring

Firm Stability Insights

Charles L. Bradley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARTER, TERRY & COMPANY, INC.

PATRICK CAPITAL MARKETS, LLC

COMPASS POINT RESEARCH & TRADING, LLC

SAMCO CAPITAL MARKETS, INC.

COMMERCE STREET CAPITAL, LLC

SAMCO CAPITAL MARKETS, INC.

PENSON FINANCIAL SERVICES, INC.

CLEARING SERVICES OF AMERICA, INC.

FIRST ATLANTA SECURITIES, LLC

ATLANTA SECURITIES & INVESTMENTS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2005

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2005

Series 4

Date: 1/17/1985

Series 24

Date: 12/11/1984

Current Firm

CARTER, TERRY & COMPANY, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARTER, TERRY & COMPANY, INC.

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