Jay W. Carter

CRD#: 2412541

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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.

Jay Wilson Carter was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 1993. Jay had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 24 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 16, 2025 - June 16, 2026

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

BIRMINGHAM, AL

Past

June 30, 2016 - June 16, 2026

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

August 15, 2005 - June 30, 2016

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

BIRMINGHAM, AL

Past

January 16, 2003 - June 16, 2026

STONEX SECURITIES INC.

CRD#: 18456

Birmingham, AL

Past

March 12, 2002 - May 8, 2003

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

November 12, 1998 - May 8, 2003

INTL CUSTODY & CLEARING SOLUTIONS INC.

CRD#: 23952

BIRMINGHAM, AL

Past

June 6, 1997 - November 16, 1998

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

June 27, 1996 - January 3, 1997

FIMI SECURITIES, INC.

CRD#: 37140

HOUSTON, TX

Past

November 15, 1993 - June 14, 1994

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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

IAR

Series 65

Date: 8/30/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/12/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2000

General Securities Principal Examination

Current Firm

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts	1,720
AUM (Assets Under Management)	$ 494,407,359

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jay W. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STONEX ADVISORS INC.

INTL ADVISORY CONSULTANTS INC.

STONEX SECURITIES INC.

STERNE, AGEE & LEACH, INC.

INTL CUSTODY & CLEARING SOLUTIONS INC.

FISERV INVESTOR SERVICES, INC.

FIMI SECURITIES, INC.

WADDELL & REED

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/2000

Series 63

Date: 11/12/1993

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2000

Series 6

Date: 11/12/1993

Series 24

Date: 8/18/2000

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

Contact information

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