KC
Kevin K. Carter
CARTER FINANCIAL GROUP
BARRINGTON, IL 60010
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CRD#: 1466159
KC
Professional summary
Kevin Kenneth Carter, CFP® is a registered financial advisor currently at CARTER FINANCIAL GROUP, INC. located in Barrington, Illinois and MUTUAL SECURITIES, INC. located in Barrington, Illinois.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Kevin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
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.
1. Carter Financial Group, Inc. Start Date: 10/14/2019, 200 N. Northwest Highway, Barrington, IL 60010, S Corp, RIA, President, Day to day operations of RIA working with clients for Financial Planning and Investments, Investment Related, 160 hours per month, 8 hours per day during trading hours. 2. Independent Insurance Agent, Start Date: 04/07/2008, 200 N. Northwest Highway, Barrington, IL 60010, Sole Proprietor, Insurance Sales, President, Selling and Service of Life Insurance, Health and Medicare Supplements, Not Investment Related, 5 hours per month, 1 hour per day during trading hours. 3. 220 S Cook, LLC., Start Date: 04/01/2012, 220 S Cook St, Barrington, IL 60010, LLC, Co Owner of Office Building, Partner, Service the needs of Rental Property, Not Investment Related, 1 hour per month, 0 hours per day during trading hours. 4. Mutual Securities Broker Dealer Registered Representative Since 10/2019 Investment Related 5. Kalahiki 14, LLC., Start Date: 03/2022, 240 W. Lake St., Barrington, IL 60010, LLC, Home Rental, Manager, Day to day duties of running a rental home, Not Investment Related, 2 Hours per month, 0 Hours per day during trading hours. 6. 222 S Cook, LLC., Start Date: 07/03/2007, 222 S Cook St, Barrington, IL 60010, LLC, President, This is just an LLC for my building, Not Investment Related, 4 Hours per month, 15 minutes per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Kenneth 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®
CFP®
Start date: 1990
Experience
Current
October 23, 2019 - Present
CARTER FINANCIAL GROUP, INC.
Office #1: 222 South Cook Street, Barrington, IL 60010RIA
CRD#: 301025
BARRINGTON, IL
Current
October 15, 2019 - Present
MUTUAL SECURITIES, INC.
Office #1: 200 N. Northwest Highway, Barrington, IL 60010BD
CRD#: 13092
Barrington, IL
Past
July 12, 1998 - October 15, 2019
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BARRINGTON, IL
Past
December 4, 1995 - October 15, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BARRINGTON, IL
Past
March 21, 1986 - November 14, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 21, 1986 - November 14, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
CF
CARTER FINANCIAL GROUP, INC.
ABC ADVISORS LLC | SHAW FINANCIAL GROUP | CARTER FINANCIAL GROUP, INC.
CRD#: 301025 / SEC#: 801-118263
RIA
Registered Investment Advisory firm - (6/19/2020 Approved)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)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(10/23/2019)
RR
California(10/16/2019)
RR
Colorado(10/23/2019)
RR
Florida(10/16/2019)
RR
Georgia(10/16/2019)
RR
Illinois(10/23/2019)
IAR
Illinois(10/23/2019)
RR
Indiana(10/24/2019)
RR
Kansas(10/21/2019)
RR
Maryland(10/16/2019)
RR
Missouri(5/24/2023)
RR
Nevada(4/13/2022)
RR
New Hampshire(10/28/2019)
RR
New Mexico(10/25/2019)
RR
North Carolina(10/17/2019)
RR
Ohio(10/16/2019)
RR
Oregon(11/20/2019)
RR
South Carolina(10/28/2019)
RR
Texas(10/16/2019)
IAR
Texas(9/18/2025)
RR
Washington(10/24/2019)
RR
Wisconsin(10/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CARTER FINANCIAL GROUP, INC.
ABC ADVISORS LLC | SHAW FINANCIAL GROUP | CARTER FINANCIAL GROUP, INC.
CRD#: 301025 / SEC#: 801-118263
RIA
Registered Investment Advisory firm - (6/19/2020 Approved)Illinois
Registered Investment Advisory firm - (6/19/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 N. Northwest Highway, Barrington, IL 60010
Mailing Address
Phone number
(847) 713-2700
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,093 |
| AUM (Assets Under Management) | $ 325,060,934 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CARTER FINANCIAL GROUP, INC.
CRD#: 301025Barrington, IL 60010TRUST BUT VERIFY
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