Clifford W. Carter

BROOKSTONE WEALTH ADVISORS

OVERLAND PARK, KS 66210

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CRD#: 2134204

Professional summary

Clifford Wayne Carter, who also goes by Cliff Carter, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Overland Park, Kansas.

Clifford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Clifford has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cliff Carter

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) 6/2022- The Anxiety and Trauma Treatment Center LLC- Owner / Professional Counselor- non-inv. related- Overland Park, KS 66210- start date 9/7/2020- 60hrs/mth 2) 6/2022- Fixed Life Insurance and Annuity Sales Agent -20 hrs month - non-inv. related Overland Park KS 66210- start date 6/2022

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Wayne Carter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 10, 2023 - Present

BROOKSTONE WEALTH ADVISORS, LLC

Office #1: 7500 Colege Blvd Fl 5, Overland Park, KS 66210

RIA

CRD#: 137658

OVERLAND PARK, KS

Past

July 8, 2022 - March 21, 2023

LPL FINANCIAL LLC

CRD#: 6413

OVERLAND PARK, KS

Past

June 9, 2022 - March 21, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

OVERLAND PARK, KS

Past

June 30, 2005 - August 25, 2005

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

OVERLAND PARK, KS

Past

March 29, 2005 - August 25, 2005

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

October 7, 2003 - August 18, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

OVERLAND, KS

Past

September 5, 2003 - August 18, 2004

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

May 7, 2003 - September 22, 2003

PRESTWICK SECURITIES, INC.

CRD#: 28030

SKOKIE, IL

Past

March 29, 1995 - May 17, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 29, 1995 - May 17, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

February 20, 1992 - May 25, 1994

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 10, 1991 - January 28, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 10, 1991 - January 28, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 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.

Highlighted states indicate IAR registrations

IAR

Kansas
(1/10/2023)

IAR

Missouri
(1/10/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/21/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/27/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/4/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/6/2003

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 4/9/1991

General Securities Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Clifford W. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clifford Wayne Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

PRESTWICK SECURITIES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CHARLES SCHWAB & CO., INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/21/2022

Series 65

Date: 9/27/2019

Series 7TO

Date: 7/8/2022

SIE

Date: 6/4/2022

Series 6

Date: 5/6/2003

Series 7

Date: 4/9/1991

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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