John W. 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.
John William Carter, who also goes by Jack Carter, John Carter, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 3, Series 7 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
August 5, 2013 - November 30, 2022
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
February 21, 2006 - July 15, 2011
CARTER GLOBAL, LLC
February 5, 2004 - November 1, 2005
WFG ADVISORS, LP
October 31, 2003 - November 1, 2005
WFG INVESTMENTS, INC.
August 28, 2003 - November 11, 2003
ALARON FINANCIAL SERVICES
July 16, 1999 - August 1, 2003
PRIM SECURITIES, INCORPORATED
October 3, 1995 - March 5, 1999
GPC SECURITIES, INC.
February 14, 1995 - May 17, 1995
HENDERSON SECURITIES, INC.
May 20, 1993 - May 12, 1994
KEYBANC CAPITAL MARKETS 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
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
CRD#: 29540 / SEC#: , 8-44816
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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