Todd D. Carter

THE BLUE OAK GROUP

Boston, MA 02108

Some features on this profile are disabled

CRD#: 3076663

Professional summary

Todd David Carter is a registered financial advisor currently at THE BLUE OAK GROUP, LLC located in Boston, Massachusetts.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Todd has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Mr. Carter co-owns and operates Mercer Consulting, LLC ("Mercer"). Mercer is a real estate consulting firm providing a range of services including advising with respect to �1031 like-kind exchanges. This business is therefore investment-related. Mr. Carter devotes approximately 30% of his time (40 hours/month) to Mercer activities primarily during securities trading hours. Address: One Boston Place, Suite 2600, Boston MA 02108. Mr. Carter also co-owns and operates The Blue Oak Group, LLC ("Blue Oak"). Blue Oak is an investment adviser registered with the Commonwealth of Massachusetts and the States of Minnesota, North Carolina and South Carolina, which provides alternative investment advice to select clients. This business is therefore investment-related. Mr. Carter devotes approximately 30% of his time (40 hours/month) to Blue Oak activities primarily during securities trading hours. Address: 3425 Maybank Hwy, Suite A, Johns Island SC 29455.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd David Carter'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

March 16, 2018 - Present

THE BLUE OAK GROUP, LLC

Office #1: One Boston Place Suite 2600, Boston, MA 02108Office #2: One Boston Place, Suite 2600, Boston, MA 02108

RIA

CRD#: 291588

Boston, MA

Past

December 28, 2015 - January 11, 2018

KALOS MANAGEMENT

RIA

CRD#: 133025

Boston, MA

Past

November 13, 2014 - January 11, 2018

KALOS CAPITAL, INC.

CRD#: 44337

Boston, MA

Past

December 16, 2013 - November 13, 2014

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

CHARLESTON, SC

Past

December 20, 2010 - November 13, 2014

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CHARLESTON, SC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/30/2018)

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 65

Date: 12/9/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2010

General Securities Representative Examination

Current Firm

THE BLUE OAK GROUP, LLC

THE BLUE OAK GROUP | THE BLUE OAK GROUP, LLC

CRD#: 291588 / SEC#:

Massachusetts

Registered Investment Advisory firm - (3/30/2018 Approved)

Minnesota

Registered Investment Advisory firm - (10/20/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2023 Terminated)

South Carolina

Registered Investment Advisory firm - (4/5/2023 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Boston Place Suite 2600, Boston, MA 02108

Mailing Address

Phone number

(843) 212-8996

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Todd D. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd David Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE BLUE OAK GROUP, LLC

KALOS MANAGEMENT

KALOS CAPITAL, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2013

Series 63

Date: 1/14/2011

SIE

Date: 1/11/2018

Series 7

Date: 12/17/2010

Current Firm

THE BLUE OAK GROUP, LLC

Contact information

Documents

Red Flags

Company Information

THE BLUE OAK GROUP, LLC

TRUST BUT VERIFY

Similar Advisors