MC
Marilyn D. Carter
INSIGHT SECURITIES
Spirit Lake, IA
Some features on this profile are disabled
CRD#: 1249368
MC
Professional summary
Marilyn Diane Carter, who also goes by Marilyn D Carter, Marilyn Carter, Marilyn Diane Larson, is a registered financial advisor currently at INSIGHT SECURITIES, INC. located in Spirit Lake, Iowa.
Marilyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Marilyn has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marilyn D Carter | Marilyn Carter | Marilyn Diane Larson
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.
CRS (Client Relationship Summary) - RIA
Click below to view Marilyn Diane Carter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marilyn Diane Carter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 7, 2016 - Present
INSIGHT SECURITIES, INC.
RIA
BD
CRD#: 5611
Spirit Lake, IA
Current
March 18, 1996 - Present
INSIGHT SECURITIES, INC.
RIA
BD
CRD#: 5611
Spirit Lake, IA
Past
May 15, 1992 - March 22, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 7, 1988 - June 4, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 3, 1984 - March 7, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/19/1996)
RR
California(3/15/1996)
RR
Colorado(3/18/1996)
RR
Illinois(3/15/1996)
RR
Iowa(3/21/1996)
IAR
Iowa(11/7/2016)
RR
Michigan(4/24/1996)
RR
Missouri(7/2/1996)
RR
Nebraska(4/16/1996)
RR
New York(5/22/1996)
RR
Ohio(3/27/1996)
RR
Rhode Island(1/9/2020)
RR
South Carolina(1/19/2006)
RR
South Dakota(3/21/1996)
RR
Texas(5/3/1996)
RR
Wisconsin(12/7/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/29/1986
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INSIGHT SECURITIES, INC.
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
CRD#: 5611 / SEC#: 801-12999, 8-16247
RIA
Registered Investment Advisory firm - SEC (5/25/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035
Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035
Phone number
(224) 632-4700
Established
Delaware since 11/12/1970
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
25
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
