Richard E. Carter

Some features on this profile are disabled

CRD#: 2446180

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.

Richard Edward Carter, who also goes by Rick Carter, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 1 firm and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick 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.

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

November 17, 1995 - April 8, 1997

BRAUER & ASSOCIATES, INC.

CRD#: 18278

ST. PETERSBURG, FL

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.

Exams

General Industry/Product Exam

Series 6

Date: 8/30/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRAUER & ASSOCIATES, INC.

CRD#: 18278 / SEC#: , 8-36375

Terminated by SEC on 03/21/1999

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 06/05/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

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.