Daniel A. Petit

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CRD#: 1222182

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.

Daniel Alphonse Petit was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

November 25, 2008 - July 17, 2017

CARTER, TERRY & COMPANY, INC.

RIA

CRD#: 16365

ATLANTA, GA

Past

November 13, 2008 - July 17, 2017

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

March 31, 2005 - October 23, 2008

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

ATLANTA, GA

Past

March 4, 2002 - October 23, 2008

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

ATLANTA, GA

Past

September 8, 1999 - March 4, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 21, 1991 - October 11, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 24, 1989 - May 17, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 30, 1986 - May 3, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 21, 1983 - August 8, 1986

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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

IAR

Series 65

Date: 8/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/4/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative 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

3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305

Mailing Address

3060 Peachtree Road Suite 1200, Atlanta, GA 30305

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	2
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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Firm Stability Insights

Daniel A. Petit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARTER, TERRY & COMPANY, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/1995

Series 63

Date: 12/21/1983

SIE

Date: 7/17/2017

Series 3

Date: 1/4/1984

Series 7

Date: 12/17/1983

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.

TRUST BUT VERIFY

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