Kelly J. Carter

ADVISER ALLIANCE

CARLSBAD, CA 92011

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CRD#: 2199445

Professional summary

Kelly Joseph Carter, who also goes by Kelly J Carter, is a registered financial advisor currently at ADVISER ALLIANCE, LLC located in Carlsbad, California and CREATIVEONE WEALTH, LLC located in Carlsbad, California.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kelly has worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly J 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. BEACON RETIREMENT PLANNING GROUP, INC: CARLSBAD, CA; CEO/INSURANCE AGENT; 01/2003-PRESENT; INVESTMENT RELATED; SALES OF FIXED (NON-SECURITIES) INSURANCE AND ANNUITY PRODUCTS FROM VARIOUS COMPANIES; APPROXIMATELY 110 HRS/MONTH DURING SECURITIES TRADING HOURS. 2. NAME: ADVISER ALLIANCE LLC; ADDRESS: 211 MILL CREEK DRIVE, BOARDMAN, OH 44512; START DATE: 01/2017; POSITION: ADVISER; INVESTMENT RELATED: YES; HOURS PER MONTH: TO BE UDPATED. DUTIES: PROVIDE ASSET MANAGEMENT SERVICES TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Joseph 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

May 11, 2017 - Present

ADVISER ALLIANCE, LLC

Office #1: 2100 Palomar Airport Road Suite 214-8, Carlsbad, CA 92011

RIA

CRD#: 287551

CARLSBAD, CA

Current

December 22, 2017 - Present

CREATIVEONE WEALTH, LLC

Office #1: 2100 Palomar Airport Rd. Ste. 214-8, Carlsbad, CA 92011

RIA

CRD#: 281213

CARLSBAD, CA

Past

August 4, 2016 - May 18, 2017

SUMMIT WEALTH PARTNERS, LLC

RIA

CRD#: 283648

CARLSBAD, CA

Past

October 26, 2015 - August 19, 2016

SUMMIT WEALTH PARTNERS, LLC

RIA

CRD#: 134620

Carlsbad, CA

Past

September 4, 2013 - March 26, 2016

SMC ADVISORY NETWORK, LLC

RIA

CRD#: 165389

CARLSBAD, CA

Past

September 25, 2012 - January 10, 2014

COOPER MCMANUS

RIA

CRD#: 111458

CARLSBAD, CA

Past

June 2, 1997 - September 8, 1997

CAPSTONE INVESTMENTS

CRD#: 41400

SAN DIEGO, CA

Past

November 8, 1996 - August 14, 1997

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 3, 1996 - November 19, 1996

INTERNATIONAL SECURITIES GROUP, INC.

CRD#: 22513

SAN DIEGO, CA

Past

December 18, 1991 - April 1, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 18, 1991 - April 1, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

CREATIVEONE WEALTH, LLC

CRD#: 281213 / SEC#: 801-106677

RIA

Registered Investment Advisory firm - (9/25/2015 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

California
(5/11/2017)

IAR

Colorado
(5/15/2023)

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

IAR

Series 65

Date: 10/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/2/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/1997

General Securities Principal Examination

Current Firm

CREATIVEONE WEALTH, LLC

CRD#: 281213 / SEC#: 801-106677

RIA

Registered Investment Advisory firm - (9/25/2015 Approved)

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Contact information

Main Address

6330 Sprint Pkwy Suite 400, Overland Park, KS 66211

Mailing Address

Phone number

(913) 402-7897

Established

Firm type

Fiscal year end

# of Employees

217

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CREATIVEONE WEALTH ADV PART 2A 03.31.2025 (4/15/2025)

Regulatory assets under management

Total Number of Accounts	29,437
AUM (Assets Under Management)	$ 4,828,907,475

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

Kelly J. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Joseph Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE WEALTH, LLC

SUMMIT WEALTH PARTNERS, LLC

SUMMIT WEALTH PARTNERS, LLC

SMC ADVISORY NETWORK, LLC

COOPER MCMANUS

CAPSTONE INVESTMENTS

FIRST ALLIED SECURITIES, INC.

INTERNATIONAL SECURITIES GROUP, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CREATIVEONE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2001

Series 63

Date: 10/8/1996

Series 7

Date: 10/2/1996

Series 6

Date: 12/16/1991

Series 24

Date: 4/21/1997

Current Firm

CREATIVEONE WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CREATIVEONE WEALTH, LLC

TRUST BUT VERIFY

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