Craig J. Leff

Some features on this profile are disabled

CRD#: 2454248

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.

Craig Jay Leff, who also goes by Craig J Leff, was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1994. Craig had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Craig J Leff

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 30, 2010 - March 15, 2024

CARTER, TERRY & COMPANY, INC.

RIA

CRD#: 16365

ATLANTA, GA

Past

November 21, 2006 - March 15, 2024

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

April 4, 2005 - November 29, 2006

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

ATLANTA, GA

Past

May 13, 2003 - November 29, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

ATLANTA, GA

Past

February 21, 2003 - May 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

June 15, 2002 - May 19, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 5, 1997 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

March 30, 1994 - May 14, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta 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

IAR

Series 65

Date: 4/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/17/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/29/1994

General Securities Representative Examination

Current Firm

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

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

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

3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305

Mailing Address

3060 Peachtree Road Suite 1200, Atlanta, GA 30305

Phone number

(404) 364-2070

Established

Georgia since 03/12/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CARTER TERRY INVESTOR BROCHURE (3/25/2025)

HASPEL BROCHURE SUPPLEMENT (3/25/2025)

CARTER TERRY WRAP BROCHURE (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST ATLANTA FINANCIAL SERVICES, INC.	OWNER
CARTER, BELFIELD HOWELL JR	GS / CHAIRMAN	41990
LASCO, ELIZABETH D	CCO/CCO ADV	2506654
MONTET, KRISTIN WALSH	SROP/ CROP / MP/ MS/ GS / FN / CFO	1084500
TERRY, TIMOTHY JOE	PRESIDENT/CEO	1051586

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 111,326,459

Disclosures

Regulatory Event	2
Arbitration	1

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

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Craig J. Leff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARTER, TERRY & COMPANY, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/1994

Series 63

Date: 4/8/1994

SIE

Date: 10/1/2018

Series 3

Date: 5/17/1994

Series 7

Date: 3/29/1994

Current Firm

CARTER, TERRY & COMPANY, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARTER, TERRY & COMPANY, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors