Debra M. 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.
Debra Mae Carter, who also goes by Debbie Carter, Debra M Carter, Debra Mae Obryant, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1983. Debra had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - April 17, 2018
KMS FINANCIAL SERVICES, INC.
December 12, 2012 - April 29, 2015
EQUINOX SECURITIES, INC.
November 18, 2009 - November 1, 2011
FIRST HEARTLAND CAPITAL, INC.
November 7, 2007 - January 12, 2008
LONE STAR SECURITIES, INC.
April 19, 2005 - October 27, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 18, 2004 - October 27, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 23, 2001 - July 6, 2004
UBS FINANCIAL SERVICES INC.
May 7, 2001 - July 6, 2004
UBS FINANCIAL SERVICES INC.
October 15, 1999 - May 7, 2001
WFG INVESTMENTS, INC.
October 12, 1999 - October 15, 1999
LPL FINANCIAL LLC
November 4, 1998 - October 12, 1999
NATIONAL SECURITIES CORPORATION
July 25, 1984 - August 9, 1988
A. G. EDWARDS & SONS, INC.
September 21, 1983 - October 25, 1983
EDWARD JONES
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
