George J. Carter
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.
George John Carter JR, who also goes by George John Carter, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1973. George had worked at 8 firms and has passed the Series 65, Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1997 - July 25, 2014
FSP INVESTMENTS LLC
January 15, 1997 - July 25, 2014
FSP INVESTMENTS LLC
November 4, 1992 - December 31, 1996
BOSTON FINANCIAL SECURITIES, INC.
August 6, 1987 - November 16, 1992
WINCHESTER EQUITIES CO., INC.
October 19, 1979 - April 13, 1987
WINTHROP SECURITIES CO., INC.
January 18, 1978 - July 22, 1980
LOEB PARTNERS
July 8, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
February 19, 1974 - September 19, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 5, 1973 - April 30, 1974
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/2/1973
Registered Representative ExaminationCurrent Firm
FSP INVESTMENTS LLC
CRD#: 42191 / SEC#: , 8-49745
Contact information
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.
