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AC

Alan B. Carter

WESTBURY GROUP LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4122739
AC

Professional summary

Alan Bernard Carter is a registered financial professional currently at WESTBURY GROUP LLC located in Westport, Connecticut.

Alan is registered as a RR (Registered Representative) and started their career in finance in 2008. Alan has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 7 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 Alan Bernard 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

February 8, 2008 - Present

WESTBURY GROUP LLC

Office #1: 39 Riverside Ave, Westport, CT 06880
BD
CRD#: 129985
Westport, CT

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
Arizona
(7/7/2023)
RR
Connecticut
(2/20/2008)
RR
Virginia
(2/20/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WG
WESTBURY GROUP LLC
WESTBURY GROUP LLC

CRD#: 129985 / SEC#: , 8-66284

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

Main Address
39 Riverside Avenue, Westport, CT 06880
Mailing Address
39 Riverside Avenue, Westport, CT 06880
Phone number
(203) 883-9000
Established
Connecticut since 11/13/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
24 FOREST LANE ASSOCIATES LLCSHAREHOLDER
ABACUS CAPITAL PARTNERS LLCSHAREHOLDER
IMPERIUM ASSOCIATES LLCSHAREHOLDER
MAXWELL, ROBERT WILLIAMCHIEF COMPLIANCE OFFICER4061503
RUBIN, JONATHAN BENNETMANAGING MEMBER5017659

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

WESTBURY GROUP LLC

CRD#: 129985Westport, CT 06880

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