John C. Carter

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CRD#: 2996213

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.

John Christopher Carter was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1998. John had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

July 17, 2023 - September 5, 2025

DESERT ROSE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 154331

MERIDIAN, ID

Past

May 18, 2022 - May 10, 2023

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

EAGLE, ID

Past

May 18, 2022 - May 10, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Eagle, ID

Past

January 25, 2005 - March 1, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Boise, ID

Past

May 8, 1998 - March 1, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Boise, ID

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".

DESERT ROSE CAPITAL MANAGEMENT, INC.

DESERT ROSE CAPITAL MANAGEMENT INC. | DESERT ROSE CAPITAL MANAGEMENT, INC.

CRD#: 154331 / SEC#: 801-124883

RIA

Registered Investment Advisory firm - (5/3/2022 Approved)

Arizona

Registered Investment Advisory firm - (5/16/2022 Terminated)

California

Registered Investment Advisory firm - (6/15/2022 Terminated)

Idaho

Registered Investment Advisory firm - (5/16/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (5/31/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (12/14/2017 Terminated)

Oregon

Registered Investment Advisory firm - (8/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2022 Terminated)

Utah

Registered Investment Advisory firm - (5/16/2022 Terminated)

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 66

Date: 12/21/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/12/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/25/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/2/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

DESERT ROSE CAPITAL MANAGEMENT, INC.

DESERT ROSE CAPITAL MANAGEMENT INC. | DESERT ROSE CAPITAL MANAGEMENT, INC.

CRD#: 154331 / SEC#: 801-124883

RIA

Registered Investment Advisory firm - (5/3/2022 Approved)

Arizona

Registered Investment Advisory firm - (5/16/2022 Terminated)

California

Registered Investment Advisory firm - (6/15/2022 Terminated)

Idaho

Registered Investment Advisory firm - (5/16/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (5/31/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (12/14/2017 Terminated)

Oregon

Registered Investment Advisory firm - (8/4/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2022 Terminated)

Utah

Registered Investment Advisory firm - (5/16/2022 Terminated)

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Contact information

Main Address

2929 W. Navigator Drive Ste. 300, Meridian, ID 83642

Mailing Address

Phone number

(208) 297-2710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DESERT ROSE FORM ADV PART 2A BROCHURE (8/29/2025)

Regulatory assets under management

Total Number of Accounts	686
AUM (Assets Under Management)	$ 112,679,913

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.

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Advisor Monitoring

Firm Stability Insights

John C. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

DESERT ROSE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2004

Series 63

Date: 5/12/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/5/1998

Series 10

Date: 10/25/2001

Series 9

Date: 8/2/2001

Current Firm

DESERT ROSE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DESERT ROSE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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