Russell A. 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.
Russell Allen Carter, CFP® was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1987. Russell had worked at 6 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
February 7, 2019 - November 17, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 7, 2019 - November 17, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 6, 2011 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
September 1, 2011 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
May 11, 2006 - August 23, 2011
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - August 23, 2011
VOYA FINANCIAL ADVISORS, INC.
May 30, 1995 - January 1, 2004
LOCUST STREET SECURITIES, INC.
July 23, 1987 - March 20, 1995
METROPOLITAN LIFE INSURANCE COMPANY
July 23, 1987 - March 20, 1995
MSI FINANCIAL SERVICES, INC.
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
