Bruce E. Carter

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CRD#: 2235592

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bruce Edward Carter was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1994. Bruce had worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 1997 - June 4, 1998

GILL CAPITAL PARTNERS, LLC

CRD#: 14559

DENVER, CO

Past

February 5, 1996 - July 29, 1996

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

October 11, 1994 - January 11, 1996

SAN CLEMENTE SECURITIES, INC.

CRD#: 21895

SAN CLEMENTE, CA

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".

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/10/1994

General Securities Representative Examination

Current Firm

GILL CAPITAL PARTNERS, LLC

CRD#: 14559 / SEC#: 801-67301, 8-30563

RIA

Registered Investment Advisory firm - SEC (12/15/2006 Approved)

Colorado

Registered Investment Advisory firm - SEC (1/4/2007 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

4582 S Ulster Street Suite 1400, Denver, CO 80237

Mailing Address

4582 S Ulster Street Suite 1400, Denver, CO 80237

Phone number

(303) 296-6260

Established

Colorado since 01/01/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GCP ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OBW, LLC	MEMBER
O'BRIEN CAPITAL MANAGEMENT, INC.	ELECTED MANAGER
O'BRIEN, JAMES ROBERT	MANAGER	1594632
ROJAS, LESLIE SQUIRES	CHIEF COMPLIANCE OFFICER, FINOP	4046779
WINSLOW, JOHN SHERWOOD	MANAGER	3084607

Regulatory assets under management

Total Number of Accounts	1,594
AUM (Assets Under Management)	$ 790,007,641

Disclosures

Regulatory Event

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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Bruce E. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GILL CAPITAL PARTNERS, LLC

FIRST ALLIED SECURITIES, INC.

SAN CLEMENTE SECURITIES, INC.

Primary Firm SEC Registration

GILL CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1994

Series 7

Date: 10/10/1994

Current Firm

GILL CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GILL CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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