James H. Carter
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.
James H Carter, who also goes by James Herbert Carter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - July 8, 2016
BB&T INVESTMENT SERVICES, INC.
November 4, 2015 - July 8, 2016
BB&T INVESTMENT SERVICES, INC.
August 28, 2014 - November 3, 2015
CETERA INVESTMENT ADVISERS LLC
August 28, 2014 - November 3, 2015
CETERA INVESTMENT SERVICES LLC
January 3, 2014 - September 15, 2014
MORGAN STANLEY
December 24, 2013 - September 15, 2014
MORGAN STANLEY
December 16, 2004 - December 9, 2013
CASI INVESTMENTS
January 26, 2001 - January 24, 2003
CITIGROUP GLOBAL MARKETS INC.
October 25, 1999 - February 8, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1999 - July 9, 1999
CITICORP INVESTMENT SERVICES
July 8, 1997 - January 24, 2003
CITIGROUP GLOBAL MARKETS INC.
April 17, 1996 - September 26, 1997
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BB&T INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
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.
