Steven F. Carter

CARTER FINANCIAL | Financial Advisor

La Jolla, CA 92037

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CRD#: 1389126

Professional summary

Steven Frederick Carter, CFP® is a registered financial advisor currently at CARTER FINANCIAL, LLC located in La Jolla, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Steven has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Executive services/Equity comp...

Trust & estate planning

Philanthropic services

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

750K

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Steven Frederick Carter's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Current

September 10, 2019 - Present

CARTER FINANCIAL, LLC

Office #1: 4225 Executive Square Suite 1030, La Jolla, CA 92037

RIA

CRD#: 298327

La Jolla, CA

Past

December 31, 1997 - October 4, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

LA JOLLA, CA

Past

October 26, 1994 - October 4, 2019

LPL FINANCIAL LLC

CRD#: 6413

LA JOLLA, CA

Past

September 12, 1985 - October 27, 1994

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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 FINANCIAL, LLC

CRD#: 298327 / SEC#: 801-117265

RIA

Registered Investment Advisory firm - (8/29/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(9/11/2019)

IAR

Texas
(9/10/2019)

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

Series 63

Date: 6/27/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/1996

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/14/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/11/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/1996

General Securities Principal Examination

Current Firm

CARTER FINANCIAL, LLC

CRD#: 298327 / SEC#: 801-117265

RIA

Registered Investment Advisory firm - (8/29/2019 Approved)

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Contact information

Main Address

4225 Executive Square Suite 1030, La Jolla, CA 92037

Mailing Address

Phone number

(858) 678-0579

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/24/2025)

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Steven F. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Frederick Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CARTER FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/29/1996

Series 22

Date: 4/14/1986

Series 6

Date: 9/11/1985

Series 24

Date: 5/15/1996

Current Firm

CARTER FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARTER FINANCIAL, LLC

TRUST BUT VERIFY

Contact information

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