David S. Frommer

CARTER, TERRY & COMPANY

Atlanta, GA 30305

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CRD#: 1474474

Professional summary

David Stephen Frommer is a registered financial professional currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.

David is registered as a RR (Registered Representative) and started their career in finance in 1986. David has worked at 18 firms and has passed the Series 63, Series 79TO, SIE 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) - BD

Click below to view David Stephen Frommer'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®

None

Experience

Current

May 24, 2012 - Present

CARTER, TERRY & COMPANY, INC.

Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305

RIA

CRD#: 16365

Atlanta, GA

Past

January 17, 2012 - May 23, 2012

L.M. KOHN & COMPANY

CRD#: 27913

GAINSVILLE, GA

Past

January 14, 2009 - January 17, 2012

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

March 15, 2004 - November 26, 2008

ARGOSY CAPITAL SECURITIES, INC.

CRD#: 44885

ALPHARETTA, GA

Past

April 14, 2003 - January 9, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 15, 2002 - April 8, 2003

THE CAMELOT GROUP, INC.

CRD#: 31091

FT LAUDERDALE, FL

Past

October 26, 2001 - September 27, 2002

STREETCAPITAL, INC

CRD#: 104034

ROSWELL, GA

Past

August 14, 2001 - November 2, 2001

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

March 11, 1998 - September 19, 2001

COLONY PARK FINANCIAL SERVICES LLC.

CRD#: 41534

GREENVILLE, SC

Past

November 22, 1995 - December 6, 1995

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

January 3, 1994 - January 24, 1997

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 27, 1993 - January 4, 1994

BURNETT, GREY & CO., INC.

CRD#: 23430

ATLANTA, GA

Past

April 11, 1992 - September 1, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 8, 1989 - April 16, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 5, 1988 - February 15, 1989

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

January 5, 1988 - December 14, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

January 2, 1987 - January 12, 1988

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

July 23, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

CRD#: 14447

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.

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

Georgia
(5/24/2012)

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: 8/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

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

David S. Frommer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Stephen Frommer's CRS (Customer Relationship Summary).

Certified licenses

Experience

L.M. KOHN & COMPANY

MIDSOUTH CAPITAL, INC.

ARGOSY CAPITAL SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

THE CAMELOT GROUP, INC.

STREETCAPITAL, INC

J.P. TURNER & COMPANY, L.L.C.

COLONY PARK FINANCIAL SERVICES LLC.

JWGENESIS SECURITIES, INC.

JOSEPHTHAL & CO., INC.

BURNETT, GREY & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

THOMSON MCKINNON SECURITIES INC.

J. W. GANT & ASSOCIATES, INC.

MICHELIN AND COMPANY, INC.

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/13/1986

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

FINRA

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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