Joanne B. Galbraith

CARTER ADVISORY SERVICES,

Dallas, TX 75251

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CRD#: 2399486

Professional summary

Joanne Baraga Galbraith, CFP®, who also goes by Joanne Baraga, Joanne B Galbraith, Joanne B Oliver, is a registered financial advisor currently at CARTER ADVISORY SERVICES, INC located in Dallas, Texas.

Joanne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Joanne has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joanne Baraga | Joanne B Galbraith | Joanne B Oliver

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. Name of Business: Raymond James Financial Services 12222 Merit Dr. Suite 1800 Dallas TX 75251. Investment Related: Y Start Date: 02/2004. Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 1 Description of duties: Use data in preparation of financial plans . Non-registered employee with administrative functions.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Baraga Galbraith's 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®

CFP^®

Certified Financial Planner

Experience

Current

January 2, 1996 - Present

CARTER ADVISORY SERVICES, INC

Office #1: 12222 Merit Dr Ste. 1800, Dallas, TX 75251Office #2: 204 W Market St. Suite A, Silver City, NM 88061

RIA

CRD#: 116249

Dallas, TX

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

Texas
(1/2/1996)

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

Current Firm

CARTER ADVISORY SERVICES, INC

CARTER ADVISORY SERVICES, INC | CARTER DVISORY SERVICES, INC | CARTER ADVISORY SERVICES, INC.

CRD#: 116249 / SEC#: 801-60727

RIA

Registered Investment Advisory firm - (12/19/2005 Terminated)

Louisiana

Registered Investment Advisory firm - (7/23/2019 Approved)

New Mexico

Registered Investment Advisory firm - (8/16/2024 Approved)

Texas

Registered Investment Advisory firm - (3/13/1981 Approved)

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).

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Contact information

Main Address

12222 Merit Drive Suite 1800, Dallas, TX 75251

Mailing Address

Phone number

(214) 363-4200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Joanne B. Galbraith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joanne Baraga Galbraith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARTER ADVISORY SERVICES, INC

State Registrations and Notice Filings

Exams

Current Firm

CARTER ADVISORY SERVICES, INC

Contact information

Documents

Red Flags

Company Information

CARTER ADVISORY SERVICES, INC

TRUST BUT VERIFY

Contact information

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