Douglas M. 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.
Douglas Mark Carter was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1990. Douglas had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 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 4, 2016 - January 8, 2018
GOLDMAN SACHS CUSTODY SOLUTIONS
January 31, 2014 - January 23, 2015
BUCKMAN, BUCKMAN & REID, INC.
February 4, 2010 - February 10, 2012
LEGEND SECURITIES, INC.
October 5, 2009 - January 26, 2010
TODD AND COMPANY, INC.
September 1, 2004 - March 12, 2010
DIVINE CAPITAL MARKETS LLC
July 16, 1998 - September 22, 2004
BUCKMAN, BUCKMAN & REID, INC.
August 1, 1997 - July 1, 1998
FIRST MONTAUK SECURITIES CORP.
June 2, 1997 - June 3, 1998
FIRST OPTIONS OF CHICAGO, INC.
February 10, 1995 - March 17, 1995
FIRST NEW YORK SECURITIES L.L.C.
January 6, 1994 - October 7, 1994
CREDIT SUISSE SECURITIES (USA) LLC
March 20, 1990 - March 1, 1991
EDKO SECURITIES
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
Series 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
