AR
Amer Rathore
CARTER, TERRY & COMPANY
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 2595054
AR
Professional summary
Amer Rathore is a registered financial professional currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia.
Amer is registered as a RR (Registered Representative) and started their career in finance in 1995. Amer has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Amer Rathore'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®
NoneExperience
Current
February 23, 2017 - Present
CARTER, TERRY & COMPANY, INC.
Office #1: 3060 Peachtree Road Suite 1200, Atlanta, GA 30305RIA
BD
CRD#: 16365
Atlanta, GA
Past
July 7, 2015 - March 9, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ATLANTA, GA
Past
December 1, 2014 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
ATLANTA, GA
Past
January 2, 2002 - November 14, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
ATLANTA, GA
Past
July 12, 1996 - January 2, 2002
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
August 8, 1995 - August 9, 1996
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
BOCA RATON, FL
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".
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & 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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/13/2019)
RR
Arizona(12/6/2021)
RR
Arkansas(1/12/2018)
RR
California(4/17/2017)
RR
Colorado(4/19/2017)
RR
Florida(3/7/2017)
RR
Georgia(3/7/2017)
RR
Illinois(9/22/2020)
RR
Iowa(3/20/2017)
RR
Massachusetts(3/8/2017)
RR
Missouri(3/7/2017)
RR
Nevada(4/14/2017)
RR
New Jersey(7/25/2019)
RR
New York(4/19/2018)
RR
North Carolina(3/20/2017)
RR
Puerto Rico(1/10/2024)
RR
Rhode Island(8/28/2023)
RR
South Carolina(3/16/2017)
RR
Texas(1/9/2019)
RR
Utah(2/2/2023)
RR
Virginia(7/26/2024)
RR
Washington(10/26/2022)
RR
West Virginia(1/5/2021)
RR
Wyoming(4/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CT
CARTER, TERRY & COMPANY, INC.
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & 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)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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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
37
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
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.
