Michael R. Carter
Professional summary
Michael Richard Carter is a registered financial professional currently at CARTER CAPITAL CORPORATION located in Southport, Connecticut.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Richard Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 1989 - Present
CARTER CAPITAL CORPORATION
Office #1: 99 Harbor Road The Tide Mill Building, Southport, CT 06890June 21, 1989 - October 1, 2015
CARTER CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2021)
(6/21/1989)
(1/24/2022)
(2/7/2022)
(2/8/2022)
(1/26/2022)
(3/5/2021)
(12/9/2021)
(1/22/2025)
(1/16/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CARTER CAPITAL CORPORATION
CRD#: 23521 / SEC#: , 8-40524
Contact information
FINRA licenses (10 States and Territories)
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.
Company Information
CARTER CAPITAL CORPORATION
CRD#: 23521Southport, CT 06890TRUST BUT VERIFY
Monitor Michael Carter
Get automatic monthly alerts on:
