Rebecca 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.
Rebecca Louise Carter was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 2002. Rebecca had worked at 6 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2016 - October 18, 2022
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 27, 2015 - December 17, 2015
RS FUNDS DISTRIBUTOR LLC
December 20, 2012 - January 5, 2015
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 22, 2012 - January 5, 2015
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
July 31, 2009 - April 30, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 26, 2007 - May 28, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 12, 2002 - June 5, 2007
NATIXIS DISTRIBUTION, LLC
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
Current Firm
AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
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.
