Steven L. 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.
Steven Lee Carter, who also goes by Steve Carter, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1972. Steven had worked at 14 firms and has passed the Series 00 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2009 - January 7, 2010
QUEST SECURITIES, INC.
October 8, 2009 - January 7, 2010
QUEST SECURITIES, INC.
June 12, 2009 - October 9, 2009
WOODBURY FINANCIAL SERVICES, INC.
June 11, 2009 - October 9, 2009
WOODBURY FINANCIAL SERVICES, INC.
August 13, 2008 - June 8, 2009
CETERA WEALTH SERVICES, LLC
August 13, 2008 - June 8, 2009
CETERA WEALTH SERVICES, LLC
September 29, 1999 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
September 24, 1999 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
November 12, 1997 - October 8, 1999
LINCOLN INVESTMENT
January 1, 1994 - November 25, 1997
LEGEND EQUITIES CORPORATION
December 6, 1990 - January 1, 1994
LEGEND CAPITAL CORPORATION
December 11, 1989 - March 12, 1990
EN SOF SECURITIES CORPORATION
January 23, 1981 - February 1, 1989
R & M INVESTMENT MARKETING
February 2, 1979 - February 26, 1981
PLANNED INVESTMENTS INC.
May 13, 1975 - March 10, 1979
DAVE FRIES AND ASSOCIATES
April 22, 1974 - August 1, 1975
MANAGEMENT OPERATIONS RESEARCH CORP.
February 13, 1974 - June 23, 1974
TOWER SQUARE SECURITIES, INC.
September 1, 1972 - March 14, 1974
JAMES G. FREEMAN & ASSOCIATES, INC.
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 00
Date: 8/24/1972
General Securities Principal ExaminationCurrent Firm
QUEST SECURITIES, INC.
CRD#: 6828 / SEC#: , 8-18273
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.
