Margaret S. Schiffer

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CRD#: 4296245

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.

Margaret Sloane Schiffer, who also goes by Margaret S. Lish, Margaret Sloane Lish, Maggie Schiffer, was a registered financial professional .

Margaret is a previously registered financial professional and started their career in finance in 2000. Margaret had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Margaret S. Lish | Margaret Sloane Lish | Maggie Schiffer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2024 - December 11, 2024

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

September 13, 2023 - March 21, 2024

DALMORE GROUP LLC

CRD#: 136352

WOODMERE, NY

Past

January 12, 2017 - July 9, 2021

HMC INVESTMENTS, LLC

CRD#: 40581

ATLANTA, GA

Past

December 1, 2015 - June 2, 2016

RABO SECURITIES USA, INC.

CRD#: 122657

NEW YORK, NY

Past

October 8, 2015 - November 13, 2015

GEM SECURITIES, LLC

CRD#: 171344

BETHESDA, MD

Past

May 28, 2015 - November 13, 2015

TC2000 BROKERAGE, INC.

CRD#: 155523

Alpharetta, GA

Past

September 21, 2012 - April 8, 2015

MORGAN STANLEY

RIA

CRD#: 149777

ATLANTA, GA

Past

September 20, 2012 - April 8, 2015

MORGAN STANLEY

CRD#: 149777

ATLANTA, GA

Past

August 6, 2010 - May 10, 2012

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

ATLANTA, GA

Past

August 5, 2010 - May 10, 2012

BARCLAYS CAPITAL INC.

CRD#: 19714

ATLANTA, GA

Past

March 25, 2009 - August 18, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

ATLANTA, GA

Past

March 18, 2009 - August 18, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

ATLANTA, GA

Past

February 23, 2006 - March 18, 2009

STANFORD GROUP COMPANY

RIA

CRD#: 39285

ATLANTA, GA

Past

January 31, 2006 - March 18, 2009

STANFORD GROUP COMPANY

CRD#: 39285

ATLANTA, GA

Past

May 17, 2005 - February 9, 2006

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ATLANTA, GA

Past

September 28, 2004 - February 9, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

ATLANTA, GA

Past

January 13, 2001 - October 20, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

December 6, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

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".

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/12/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/10/2023

General Securities Representative Examination

General Industry/Product Exam

Series 52TO

Date: 9/10/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/10/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/10/2023

Registered Options Principal Examination

Current Firm

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305

Mailing Address

3060 Peachtree Road Suite 1200, Atlanta, GA 30305

Phone number

(404) 364-2070

Established

Georgia since 03/12/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CARTER TERRY INVESTOR BROCHURE (3/25/2025)

HASPEL BROCHURE SUPPLEMENT (3/25/2025)

CARTER TERRY WRAP BROCHURE (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST ATLANTA FINANCIAL SERVICES, INC.	OWNER
CARTER, BELFIELD HOWELL JR	GS / CHAIRMAN	41990
LASCO, ELIZABETH D	CCO/CCO ADV	2506654
MONTET, KRISTIN WALSH	SROP/ CROP / MP/ MS/ GS / FN / CFO	1084500
TERRY, TIMOTHY JOE	PRESIDENT/CEO	1051586

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 111,326,459

Disclosures

Regulatory Event	2
Arbitration	1

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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Advisor Monitoring

Firm Stability Insights

Margaret S. Schiffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DALMORE GROUP LLC

HMC INVESTMENTS, LLC

RABO SECURITIES USA, INC.

GEM SECURITIES, LLC

TC2000 BROKERAGE, INC.

MORGAN STANLEY

MORGAN STANLEY

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2005

Series 63

Date: 12/20/2000

Series 7TO

Date: 9/10/2023

Series 52TO

Date: 9/10/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/5/2000

Series 24

Date: 9/10/2023

Series 53

Date: 9/10/2023

Series 4

Date: 9/10/2023

Current Firm

CARTER, TERRY & COMPANY, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARTER, TERRY & COMPANY, INC.

TRUST BUT VERIFY

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