SC
Scott A. Carter
CETERA INVESTMENT ADVISERS LLC
BLAIRSVILLE, GA 30512
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CRD#: 2082750
SC
Professional summary
Scott Allison Carter is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Blairsville, Georgia and CETERA WEALTH SERVICES, LLC located in Blairsville, Georgia.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) (dba) CARTER INSURANCE AND INVESTMENTS; Investment Related; 340 Young Harris Street, Blairsville, GA 30512; Insurance Sales; President/Co-Owner; Start Date 06/1989; 160 hours per month with all hours occurring during trading hours; Sales and service of insurance and investment products. >> 2) SCOTT CARTER ENTERPRISES, INC.; Investment Related; 340 Young Harris Street, Blairsville, GA 30512; Insurance Sales; President; Started 08/1989; 160 hours per month with all 160 hours per month during trading; I sell insurance products including life, disability, and fixed annuities. I oversee health insurance sales department. >> 3) CARTER WILLIAMS LLC dba CARTER WILLIAMS INSURANCE & INVESTMENTS; Investment Related; Blairsville, GA; Board Member; Partner; Start Date 01/2023; 80 hours per month with those hours per month occurring during trading hours; Sells and service of insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Allison Carter's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 340 Young Harris Street, Blairsville, GA 30512RIA
CRD#: 105644
BLAIRSVILLE, GA
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 340 Young Harris Street, Blairsville, GA 30512BD
CRD#: 13572
Blairsville, GA
Past
February 3, 2003 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Blairsville, GA
Past
January 6, 1999 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Blairsville, GA
Past
January 5, 1999 - February 9, 1999
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
January 12, 1996 - December 31, 1998
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
November 10, 1993 - January 18, 1996
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
June 8, 1992 - December 31, 1992
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
IAR
Georgia(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Ohio(2/20/2025)
RR
South Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
