CM
Carl C. Mcdonald
UNITED CAPITAL FINANCIAL ADVISORS
MEMPHIS, TN 38120
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CRD#: 1631860
CM
Professional summary
Carl Christopher Mcdonald, who also goes by Chris Mcdonald, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Memphis, Tennessee.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Carl has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Mcdonald
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.
LIFE & DISABILITY INSURANCE SALES - SELF EMPLOYED, MARCH 1986 TO PRESENT. APPROX. 1 HR. PER MONTH. 112 CLARENDON AVENUE, NASHVILLE, TNI AM CURRENTLY AN EMPLOYEE AND IAR REGISTERED THROUGH UNITED CAPITAL FINANCIAL ADVISERS, INC. (UCFA). UCFA IS AN IA FIRM REGISTERED WITH THE SEC AND NOTICED FILED WITH VARIOUS STATES. I AM AN EMPLOYEE OF THE UCFA. UCFA PROVIDES FINANCIAL PLANNING AND RELATED ADVICE FOR A FLAT RATE (SEE ADV BROCHURE). IN ADDITION, I MAY REFER CLIENTS TO ALTERNATIVE INVESTMENT STRATEGIES, HEDGE FUNDS. I WILL NOT RECEIVE ANY DIRECT COMPENSATION FROM THE HEDGE FUND. THIS BUSINESS IS CONDUCTED WITH THE MUTUAL PERMISSION OF GSI AND UCFA, AND IS OUTSIDE OF THE SCOPE OF MY RELATIONSHIP WITH GIRARD SECURITIES, INC. OWN RENTAL REAL ESTATE PROPERTY.
CRS (Client Relationship Summary) - RIA
Click below to view Carl Christopher Mcdonald'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®
NoneExperience
Current
September 9, 2010 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 5350 Poplar Ave Suite 310, Memphis, TN 38120RIA
CRD#: 134600
MEMPHIS, TN
Past
December 22, 2011 - July 6, 2016
GIRARD SECURITIES, INC.
BD
CRD#: 18697
MEMPHIS, TN
Past
January 4, 2010 - December 31, 2010
SOVEREIGN WEALTH MANAGEMENT INC
RIA
CRD#: 109024
MEMPHIS, TN
Past
January 23, 2004 - January 15, 2010
ONEAMERICA SECURITIES, INC.
RIA
CRD#: 4173
NASHVILLE, TN
Past
December 21, 2001 - January 15, 2010
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
NASHVILLE, TN
Past
April 3, 2000 - December 20, 2001
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
February 13, 1992 - April 4, 2000
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
March 25, 1987 - February 13, 1992
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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
Tennessee(9/9/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Memphis, TN 38120TRUST BUT VERIFY
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Contact information
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