Scott L. 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.
Scott Landon Carter, who also goes by Scotte Landon Carter, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2021 - June 4, 2025
SBC PARTNERS
April 27, 2020 - October 25, 2021
MORETON CAPITAL MARKETS, LLC
January 31, 2020 - April 23, 2020
MUTUAL SECURITIES, INC.
January 15, 2019 - March 25, 2020
MD GLOBAL PARTNERS, LLC
April 5, 2016 - March 15, 2018
LOOP CAPITAL MARKETS LLC
March 25, 2014 - March 3, 2016
CASTLEOAK SECURITIES, LP
March 21, 2007 - March 10, 2014
E.J. DE LA ROSA & CO., INC.
September 16, 2004 - March 13, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2002 - September 17, 2004
BONDS DIRECT SECURITIES LLC
March 27, 1998 - June 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 11, 1997 - June 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1991 - November 13, 1997
PIPER SANDLER & CO.
September 4, 1990 - September 12, 1991
WELLS FARGO CLEARING SERVICES, LLC
October 31, 1988 - September 4, 1990
BOETTCHER & COMPANY, INC.
April 29, 1988 - September 2, 1988
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
December 3, 1987 - June 27, 1988
COLUMBIA INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SBC PARTNERS
CRD#: 284750 / SEC#: , 8-69810
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
