Steven F. 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.
Steven Frederick Carter, CFP® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
At a Glance
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
September 10, 2019 - July 8, 2026
CARTER FINANCIAL, LLC
December 31, 1997 - October 4, 2019
LPL FINANCIAL LLC
October 26, 1994 - October 4, 2019
LPL FINANCIAL LLC
September 12, 1985 - October 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
CARTER FINANCIAL, LLC
CRD#: 298327 / SEC#: 801-117265
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
CARTER FINANCIAL, LLC
CRD#: 298327 / SEC#: 801-117265
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 536 |
| AUM (Assets Under Management) | $ 251,870,483 |
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.
