Jimmy L. 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.
Jimmy Lynn Carter was a registered financial advisor .
Jimmy is a previously registered financial advisor and started their career in finance in 1983. Jimmy had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - July 5, 2016
STATE FARM VP MANAGEMENT CORP.
June 12, 2009 - September 14, 2010
INVESTMENT PROFESSIONALS, INC.
March 27, 2009 - September 14, 2010
INVESTMENT PROFESSIONALS, INC.
April 17, 1998 - March 19, 2009
AMERICAN INVESTORS GROUP, INC.
April 8, 1997 - March 25, 1998
CRISPIN KOEHLER SECURITIES
April 18, 1995 - April 23, 1997
A. B. CULBERTSON AND COMPANY
February 11, 1995 - March 30, 1995
BIRCHTREE FINANCIAL SERVICES LLC
August 24, 1989 - February 10, 1995
A. B. CULBERTSON AND COMPANY
August 24, 1983 - September 20, 1988
J.C. BRADFORD & CO.
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
Series 8
Date: 11/20/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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