Billy B. Carthen
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.
Billy Burton Carthen, who also goes by Bill Carthen, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 1984. Billy had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 10, Series 9 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2011 - November 25, 2013
QUANTUM CAPITAL INVESTMENTS, INC.
January 29, 1998 - September 24, 2001
CHARLES SCHWAB & CO., INC.
October 27, 1997 - November 28, 1997
CHATFIELD DEAN & CO., INC.
January 24, 1984 - December 6, 1989
CENTURY 21 SECURITIES CORPORATION
Primary Firm SEC Registration
QUANTUM CAPITAL INVESTMENTS, INC.
CRD#: 156037 / SEC#: 801-132836
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
Current Firm
QUANTUM CAPITAL INVESTMENTS, INC.
CRD#: 156037 / SEC#: 801-132836
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 310 |
| AUM (Assets Under Management) | $ 125,000,000 |
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.
