Todd E. Carter
Professional summary
Todd Eugene Carter, who also goes by Todd E Carter, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Dallas, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Todd has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Todd Eugene Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 15030 Preston Rd Ste 934, Dallas, TX 75254March 21, 2023 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 111 W Houston Ste 100, San Antonio, TX 78205January 2, 2009 - September 5, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 1, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 22, 2003 - September 5, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 2002 - May 23, 2003
BANC ONE SECURITIES CORPORATION
May 24, 2001 - May 23, 2003
BANC ONE SECURITIES CORPORATION
August 16, 2000 - May 7, 2001
CHASE INVESTMENT SERVICES CORP.
December 3, 1999 - July 26, 2000
1ST GLOBAL CAPITAL CORP.
June 27, 1996 - December 3, 1999
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/17/2022)
Exams
FINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
Red Flags
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Company Information
FROST INVESTMENT SERVICES
CRD#: 286129Dallas, TX 75254TRUST BUT VERIFY
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