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LC

Louis R. Carter

RAYNMAKER FINANCIAL
Los Angeles, CA
Some features on this profile are disabled
CRD#: 4370694
LC

Professional summary

Louis Raymond Carter II, who also goes by Ray Carter, is a registered financial advisor currently at RAYNMAKER FINANCIAL located in Los Angeles, California.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Louis has worked at 3 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ray Carter

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 Louis Raymond Carter II'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

August 22, 2025 - Present

RAYNMAKER FINANCIAL

RIA
CRD#: 336729
Los Angeles, CA
Past

May 7, 2002 - March 10, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LONG BEACH, CA
Past

March 14, 2002 - March 10, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 20, 2001 - February 5, 2002

FOX & COMPANY INVESTMENTS INC.

BD
CRD#: 18517
SCOTTSDALE, AZ

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
Arizona
(8/22/2025)
IAR
California
(8/28/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/26/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/30/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/7/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2001
General Securities Representative Examination

Current Firm

RF
RAYNMAKER FINANCIAL
RAYNMAKER FINANCIAL

CRD#: 336729 / SEC#:

Arizona
Registered Investment Advisory firm - (8/22/2025 Approved)
California
Registered Investment Advisory firm - (8/28/2025 Approved)
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Contact information

Main Address
651 N. Sepulveda Blvd 2007, Los Angeles, CA 90049
Mailing Address
6940 Sepulveda Blvd. Suite 208, Van Nuys, CA 91405
Phone number
(818) 317-8977
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

RAYNMAKER FINANCIAL

CRD#: 336729Los Angeles, CA

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