Horace Leroy Carter
Professional Summary
Horace Leroy Carter is a registered financial advisor currently at RAYMOND JAMES & ASSOCIATES, INC. located in St. Petersburg, Florida and SUMRIDGE PARTNERS, LLC located in St. Petersburg, Florida. Horace is registered as a RR (Registered Representative) and started their career in finance in 1993. Horace has worked at 4 firms and has passed the Series 63, Series 57TO, Series 52TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 53 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CENTERLEDGE CAPITAL MARKETS LLC | GREENSLEDGE CAPITAL MARKETS LLC
Contact Information
Main Address
575 Lexington Avenue 32nd Floor, New York, NY 10022Mailing Address
575 Lexington Avenue 32nd Floor, New York, NY 10022Phone Number
(212) 792-5274Established
Delaware since 04/29/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENSLEDGE HOLDINGS LLC | OWNER | — |
| AGSTER, RICHARD HARMAN | CHIEF COMPLIANCE OFFICER | 5625718 |
| CARTER, HORACE LEROY | PRESIDENT | 2157720 |
| DELEON, ALLYSSA NICOLE | FINOP, PFO, POO | 6902665 |
| GOLDWASSER PLUTZIK, LESLEY DANA | MANAGING DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE | 1315659 |
| KANE, JAMES BRASSLER | MANAGING DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE | 2568683 |
| PETRUS, JANEEN MARIE | CHIEF OPERATING OFFICER | 5378098 |
| SPECTOR, MITCHELL DEREN | TREASURER | 6734133 |
| ZEITLIN, BRIAN SCOTT | MANAGING DIRECTOR | 2898818 |
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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.
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State Registrations and Notice Filings
(1/2/2015)
(4/2/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Apr 2000SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Horace Leroy Carter's CRS (Customer Relationship Summary).
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