Michael D. Carter
Professional summary
Michael Dewayne Carter SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Michael had worked at 8 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES INC., MARKETING ONE SECURITIES INC., INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2009 - June 2, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
August 4, 2009 - June 2, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
May 30, 2008 - July 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2008 - July 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2007 - June 23, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 23, 2008
CITIGROUP GLOBAL MARKETS INC.
September 4, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
September 4, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 15, 2001 - August 18, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - August 18, 2003
WELLS FARGO INVESTMENTS, LLC
September 20, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 26, 1993 - September 20, 1993
MARKETING ONE SECURITIES, INC.
February 1, 1993 - April 14, 1993
INTERFIRST 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
Exams
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
