Douglas E. 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.
Douglas Edsel Carter, who also goes by Doug Carter, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 9 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2003 - December 9, 2004
STERNE, AGEE & LEACH, INC.
March 28, 2002 - August 13, 2003
FIRST SOUTHWEST COMPANY, LLC
September 8, 2000 - March 11, 2002
MORGAN KEEGAN & COMPANY, LLC
August 14, 2000 - November 7, 2000
UBS FINANCIAL SERVICES INC.
June 2, 1999 - August 14, 2000
J.C. BRADFORD & CO.
February 2, 1998 - March 26, 1999
FIRST UNION CAPITAL MARKETS CORP.
July 3, 1997 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
June 27, 1990 - July 2, 1997
ALEX. BROWN & SONS INCORPORATED
January 13, 1989 - June 1, 1990
FIRST UNION CAPITAL MARKETS CORP.
April 29, 1987 - January 25, 1989
FIRST UNION BROKERAGE 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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
