Thomas C. Carter

RETIREMENT PLAN FIDUCIARIES

Austin, TX

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CRD#: 4225405

Professional summary

Thomas Carson Carter JR. is a registered financial advisor currently at RETIREMENT PLAN FIDUCIARIES, LLC located in Austin, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Carson Carter JR.'s CRS (Customer Relationship Summary).

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 29, 2012 - Present

RETIREMENT PLAN FIDUCIARIES, LLC

RIA

CRD#: 161137

Austin, TX

Past

January 20, 2004 - February 1, 2012

ML&R WEALTH MANAGEMENT LLC

RIA

CRD#: 109359

AUSTIN, TX

Past

January 25, 2001 - November 5, 2003

INVESMART SECURITIES, LLC

CRD#: 104168

PITTSBURGH, PA

Past

August 22, 2000 - November 5, 2003

INVESMART ADVISORS INC

RIA

CRD#: 108731

AUSTIN, TX

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".

RETIREMENT PLAN FIDUCIARIES, LLC

RETIREMENT PLAN FIDUCIARIES, LLC | RPF ADVISORS

CRD#: 161137 / SEC#: 801-107541

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

Texas

Registered Investment Advisory firm - (8/2/2016 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.

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

Texas
(2/29/2012)

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: 8/21/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/2000

General Securities Representative Examination

Current Firm

RETIREMENT PLAN FIDUCIARIES, LLC

RETIREMENT PLAN FIDUCIARIES, LLC | RPF ADVISORS

CRD#: 161137 / SEC#: 801-107541

RIA

Registered Investment Advisory firm - (4/15/2016 Approved)

Texas

Registered Investment Advisory firm - (8/2/2016 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Po Box 171207, Austin, TX 78717

Phone number

(512) 394-6596

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 2025 (3/1/2025)

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 179,281,650

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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Thomas C. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Carson Carter JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREMENT PLAN FIDUCIARIES, LLC

ML&R WEALTH MANAGEMENT LLC

INVESMART SECURITIES, LLC

INVESMART ADVISORS INC

Primary Firm SEC Registration

RETIREMENT PLAN FIDUCIARIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2000

Series 7

Date: 7/27/2000

Current Firm

RETIREMENT PLAN FIDUCIARIES, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLAN FIDUCIARIES, LLC

TRUST BUT VERIFY

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