Ana R. Carter

LCG CAPITAL ADVISORS

Tampa, FL 33602

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CRD#: 4424794

Professional summary

Ana Roumenova Carter, who also goes by Ana Roumenova Bagaleva, Ana Carter, Ana R Carter, Ana Roumenova Pirinski, Ana Pirinski, is a registered financial professional currently at LCG CAPITAL ADVISORS, LLC located in Tampa, Florida and PENSIONMARK SECURITIES, LLC located in Santa Barbara, California.

Ana is registered as a RR (Registered Representative) and started their career in finance in 2009. Ana has worked at 34 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ana Roumenova Bagaleva | Ana Carter | Ana R Carter | Ana Roumenova Pirinski | Ana Pirinski

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) - BD

Click below to view Ana Roumenova Carter'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

February 2, 2016 - Present

LCG CAPITAL ADVISORS, LLC

Office #1: 201 East Kennedy Blvd Suite 1700, Tampa, FL 33602Office #2: 201 E. Kennedy Blvd. Suite 1700, Tampa, FL 33602

CRD#: 129311

Tampa, FL

Current

May 31, 2017 - Present

PENSIONMARK SECURITIES, LLC

Office #1: 24 East Cota Street Suite 200, Santa Barbara, CA 93101

CRD#: 283952

Santa Barbara, CA

Current

September 16, 2017 - Present

CORINTHIAN PARTNERS, L.L.C.

Office #1: 275 Madison Avenue 8th Floor, New York, NY 10016

CRD#: 38912

NEW YORK, NY

Current

August 16, 2018 - Present

WESTCO INVESTMENT CORP.

Office #1: 77 Hempstead Avenue, Lynbrook, NY 11563

CRD#: 20744

Lynbrook, NY

Current

August 27, 2018 - Present

FORTRESS PRIVATE LEDGER, LLC

Office #1: 3110 Edwards Mill Rd, Ste 200, Raleigh, NC 27612Office #2: 3110 Edwards Mill Rd Ste 200, Raleigh, NC 27612

RIA

CRD#: 290298

Raleigh, NC

Current

December 6, 2018 - Present

SECURITY CAPITAL BROKERAGE, INC.

Office #1: 260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303

CRD#: 35405

Atlanta, GA

Current

March 28, 2019 - Present

MERAKI GLOBAL ADVISORS LLC

Office #1: 1389 Center Drive, Suite 170, Park City, UT 84098

CRD#: 297930

Park City, UT

Current

March 29, 2019 - Present

ROGAN & ASSOCIATES, INC.

Office #1: 200 9th Avenue. North Suite 100, Safety Harbor, FL 34695-3500

RIA

CRD#: 42762

Safety Harbor, FL

Current

October 15, 2019 - Present

SEALY INVESTMENT SECURITIES, LLC

Office #1: 8401 N. Central Expressway Suite 150, Dallas, TX 75225

CRD#: 300691

Dallas, TX

Current

June 11, 2020 - Present

PINNACLE CAPITAL SECURITIES, LLC

Office #1: 4105 E Broadway Suite 102, Long Beach, CA 90803

CRD#: 106213

Long Beach, CA

Current

August 13, 2021 - Present

HENRIES SECURITIES

CRD#: 306152

Brooklyn, NY

Current

April 18, 2022 - Present

SKYWAY CAPITAL MARKETS, LLC

Office #1: 100 North Tampa Street Suite 3550, Tampa, FL 33602

CRD#: 124630

Tampa, FL

Current

May 12, 2022 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131

CRD#: 112386

Miami, FL

Current

April 14, 2023 - Present

DAI SECURITIES, LLC

Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345

CRD#: 36673

Atlanta, GA

Current

September 8, 2023 - Present

ICG CAPITAL SECURITIES, LLC

Office #1: 201 South College Street Suite 1610, Charlotte, NC 28244

CRD#: 169661

CHARLOTTE, NC

Current

September 27, 2023 - Present

OPENYIELD TRADING LLC

Office #1: 205 East 42nd Street Suite 1935, New York, NY 10017

CRD#: 326199

New York, NY

Current

April 1, 2024 - Present

WORLD INVESTMENTS, LLC

Office #1: 437 Newman Springs Road, Lincroft, NJ 07738

CRD#: 20626

Lincroft, NJ

Current

December 9, 2024 - Present

SAN BLAS SECURITIES LLC

Office #1: 233 S Wacker Dr Suite 4400, Chicago, IL 60606

CRD#: 290605

CHICAGO, IL

Current

May 23, 2025 - Present

CHAPIN, DAVIS

Office #1: 1411 Clarkview Road, Baltimore, MD 21209

RIA

CRD#: 28116

Baltimore, MD

Current

July 31, 2025 - Present

THE FORBES SECURITIES GROUP LLC

Office #1: 6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111

CRD#: 288142

Greenwood Village, CO

Past

November 13, 2019 - March 1, 2023

FREITAG CAPITAL LLC

CRD#: 298349

BOSTON, MA

Past

August 23, 2019 - September 3, 2025

DAYBRIGHT SECURITIES, LLC

CRD#: 293128

LAKELAND, FL

Past

September 13, 2018 - September 29, 2023

EASTERLY SECURITIES LLC

CRD#: 281103

BEVERLY, MA

Past

August 31, 2018 - April 28, 2023

THE FORBES SECURITIES GROUP LLC

CRD#: 288142

GREENWOOD VILLAGE, CO

Past

March 5, 2018 - July 9, 2018

ZEUS FINANCIAL, LLC

CRD#: 18192

BOCA RATON, FL

Past

September 6, 2017 - November 15, 2018

CORNERSTONE CAPITAL CORPORATION

CRD#: 46903

DUBLIN, OH

Past

June 30, 2017 - December 11, 2019

GLOBAL SILICON VALLEY SECURITIES LLC

CRD#: 22882

SAN RAMON, CA

Past

February 23, 2017 - May 3, 2018

FORIS CAPITAL US LLC

CRD#: 282331

PORTSMOUTH, NH

Past

June 17, 2016 - August 14, 2018

FIVE 9 SECURITIES, LLC

CRD#: 114853

LADERA RANCH, CA

Past

March 22, 2016 - August 12, 2022

AARON CAPITAL INCORPORATED

CRD#: 28583

Columbus, GA

Past

March 3, 2016 - February 8, 2017

HALEN CAPITAL

CRD#: 135966

CLEARWATER, FL

Past

February 2, 2016 - December 31, 2016

TEMPLUM MARKETS LLC

CRD#: 102840

NEW YORK, NY

Past

January 4, 2016 - December 31, 2016

HARBOR LIGHT SECURITIES, LLC

CRD#: 130227

TAMPA, FL

Past

March 10, 2010 - October 23, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

TAMPA, FL

Past

September 1, 2009 - March 10, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/2/2016)

Georgia
(9/16/2017)

New York
(9/16/2017)

Utah
(4/17/2019)

Exams

State Security Law Exam

Series 63

Date: 8/14/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/31/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 7/5/2010

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 28

Date: 6/8/2010

Introducing Broker/Dealer Financial Operations Principal Examination

SRO Registrations

FINRA

Current Firm

THE FORBES SECURITIES GROUP LLC

FORBES PARTNERS | THE FORBES SECURITIES GROUP LLC

CRD#: 288142 / SEC#: , 8-69926

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

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Contact information

Main Address

6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111

Mailing Address

6400 S. Fiddlers Green Circle Suite 850, Greenwood Village, CO 80111

Phone number

(303) 770-6017

Established

Colorado since 02/01/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FORBES, ROBERT ALAN	PRESIDENT	5765628
FORBES, SHARLEEN	OWNER
CARTER, ANA ROUMENOVA	FINOP/PFO/POO	4424794
WILEY, JONATHON DAVID	CHIEF COMPLIANCE OFFICER	2524793

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

Ana R. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ana Roumenova Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSIONMARK SECURITIES, LLC

CORINTHIAN PARTNERS, L.L.C.

WESTCO INVESTMENT CORP.

FORTRESS PRIVATE LEDGER, LLC

SECURITY CAPITAL BROKERAGE, INC.

MERAKI GLOBAL ADVISORS LLC

ROGAN & ASSOCIATES, INC.

SEALY INVESTMENT SECURITIES, LLC

PINNACLE CAPITAL SECURITIES, LLC

HENRIES SECURITIES

SKYWAY CAPITAL MARKETS, LLC

ASHTON STEWART & CO., INC.

DAI SECURITIES, LLC

ICG CAPITAL SECURITIES, LLC

OPENYIELD TRADING LLC

WORLD INVESTMENTS, LLC

SAN BLAS SECURITIES LLC

CHAPIN, DAVIS

THE FORBES SECURITIES GROUP LLC

FREITAG CAPITAL LLC

DAYBRIGHT SECURITIES, LLC

EASTERLY SECURITIES LLC

THE FORBES SECURITIES GROUP LLC

ZEUS FINANCIAL, LLC

CORNERSTONE CAPITAL CORPORATION

GLOBAL SILICON VALLEY SECURITIES LLC

FORIS CAPITAL US LLC

FIVE 9 SECURITIES, LLC

AARON CAPITAL INCORPORATED

HALEN CAPITAL

TEMPLUM MARKETS LLC

HARBOR LIGHT SECURITIES, LLC

JHS CAPITAL ADVISORS, LLC

GUNNALLEN FINANCIAL, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/14/2015

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/31/2009

Series 27

Date: 7/5/2010

Series 28

Date: 6/8/2010

FINRA

Current Firm

THE FORBES SECURITIES GROUP LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

THE FORBES SECURITIES GROUP LLC

TRUST BUT VERIFY

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