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KC

Kenneth L. Carter

CAPITAL MANAGEMENT OF THE CAROLINAS
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 2822127
KC

Professional summary

Kenneth Lee Carter JR is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 6, Series 28 and Series 26 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Lee Carter JR'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®
None

Experience

Current

May 11, 2001 - Present

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203Office #2: 1520 South Boulevard, Suite 230, Charlotte, NC 28203
BD
CRD#: 110643
Charlotte, NC
Past

November 6, 2000 - May 3, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

December 3, 1996 - October 25, 2000

STERLING CAPITAL DISTRIBUTORS, INC.

BD
CRD#: 10705
CHARLOTTE, NC

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
North Carolina
(5/14/2001)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/7/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/19/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 3/12/2001
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/7/1997
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643 / SEC#: , 8-53149

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

Main Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Mailing Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Phone number
(704) 332-3131
Established
North Carolina since 11/15/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORIN, MICHAEL LEWISPARTNER/VICE PRESIDENT2951550
RIVERS, JAMES CALVIN JRPARTNER1067542
THE KENNETH LEE CARTER, JR. REVOCABLE TRUSTTRUST
DOUGLASS, REBECCA GENTRYPARTNER1213829
CARTER, KENNETH LEE JRPARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE2822127
YAGER, SHERRI LYNNCHIEF COMPLIANCE OFFICER2660363

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.

Company Information

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643Charlotte, NC 28203

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