Horace L. Carter
Professional summary
Horace Leroy Carter is a registered financial professional 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 3 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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Horace Leroy Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2012 - Present
RAYMOND JAMES & ASSOCIATES, INC.
Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716July 13, 2022 - Present
SUMRIDGE PARTNERS, LLC
Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716August 2, 2012 - March 13, 2013
MORGAN KEEGAN & COMPANY, LLC
September 17, 1993 - April 2, 2012
MORGAN KEEGAN & COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2015)
(4/2/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
SUMRIDGE PARTNERS, LLC
CRD#: 152437 / SEC#: , 8-68454
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREST ACQUISITION CO. | OWNER | |
| CARTER, HORACE LEROY | PRESIDENT | 2157720 |
| CATLIN, CHRISTOPHER EDWIN | DIRECTOR OF OPERATIONS/ COO (2/2015) | 1759063 |
| CHAMPAGNE, JUSTIN TYLER | MUNICIPAL PRINCIPAL/ MANAGING DIRECTOR (7/2022) | 5822474 |
| CHAMPAGNE, RYAN | HEAD OF TRADING/ SENIOR MANAGING DIRECTOR (7/2022) | 4774950 |
| DELEON, ALLYSSA NICOLE | CFO/ FINOP | 6902665 |
| JIANG, JIANZHONG | CHIEF TECHNOLOGY OFFICER/ SENIOR MANAGING DIRECTOR (7/2022) | 4779195 |
| MORANO, KEVIN ROBERT | SENIOR MANAGING DIRECTOR | 1928935 |
| SHIM, KATHERINE | CHIEF COMPLIANCE OFFICER | 4204142 |
Red Flags
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Company Information
SUMRIDGE PARTNERS, LLC
CRD#: 152437St. Petersburg, FL 33716TRUST BUT VERIFY
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