Douglas F. Carter
Professional summary
Douglas Fosdick Carter, who also goes by Doug Carter, Douglas Carter, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Omaha, Nebraska and CHARLES SCHWAB & CO., INC. located in Omaha, Nebraska.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Douglas has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Fosdick Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2024 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 200 South 108 Ave, Omaha, NE 68154January 2, 2025 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 200 S. 108 Ave, Omaha, NE 68154January 26, 2022 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 200 S. 108 Ave, Omaha, NE 68154February 2, 2022 - January 18, 2024
CHARLES SCHWAB & CO., INC.
June 12, 2017 - October 14, 2022
TD AMERITRADE, INC.
June 12, 2017 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 12, 2017 - January 8, 2024
TD AMERITRADE, INC.
May 10, 2016 - December 7, 2016
MOLONEY SECURITIES ASSET MANAGEMENT LLC
May 10, 2016 - December 7, 2016
MOLONEY INVESTMENT ADVISORY LLC
April 29, 2016 - December 7, 2016
MOLONEY SECURITIES CO., INC.
April 23, 2013 - May 2, 2016
NATIONS FINANCIAL GROUP, INC.
April 22, 2013 - May 2, 2016
NATIONS FINANCIAL GROUP, INC.
April 3, 2012 - March 15, 2013
MOLONEY SECURITIES CO., INC.
April 3, 2012 - March 15, 2013
MOLONEY SECURITIES CO., INC.
February 25, 2010 - May 4, 2012
NATIONS FINANCIAL GROUP, INC.
February 18, 2010 - May 4, 2012
NATIONS FINANCIAL GROUP, INC.
October 19, 2005 - August 5, 2009
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
August 18, 2005 - August 5, 2009
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
March 4, 2005 - December 31, 2005
SAMCO FINANCIAL SERVICES, INC.
July 31, 2003 - November 10, 2004
TD AMERITRADE, INC.
October 24, 1990 - November 10, 2004
TD AMERITRADE, INC.
September 14, 1989 - October 5, 1990
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
July 18, 1989 - September 20, 1989
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 8
Date: 4/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035Omaha, NE 68154TRUST BUT VERIFY
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