SF
Stephen E. Felix
CARTER, TERRY & COMPANY
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 2123338
SF
Professional summary
Stephen Edward Felix is a registered financial professional currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 2 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Edward Felix'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
August 16, 2019 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
April 26, 2019 - August 16, 2019
IFS SECURITIES
BD
CRD#: 40375
ATLANTA, GA
Past
August 31, 2017 - April 24, 2019
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
ATLANTA, GA
Past
October 3, 2003 - August 31, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
ATLANTA, GA
Past
January 3, 2003 - October 3, 2003
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
February 17, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
February 9, 1999 - February 25, 2000
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
March 4, 1997 - February 5, 1999
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 22, 1996 - March 14, 1997
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 1, 1995 - December 20, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 1, 1992 - June 5, 1992
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
March 15, 1991 - April 18, 1991
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Florida(9/10/2019)
RR
Georgia(8/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 6/10/1991
Non-Member General Securities ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
RIA
Registered Investment Advisory firm - SEC (4/30/2018 Approved)Florida
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/26/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/30/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/29/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305
Mailing Address
3060 Peachtree Road Suite 1200, Atlanta, GA 30305
Phone number
(404) 364-2070
Established
Georgia since 03/12/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| 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.
