Philip E. 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.
Philip E Carter, who also goes by Philip Earl Carter, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2002. Philip had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2012 - March 22, 2024
EDELMAN FINANCIAL ENGINES
December 23, 2011 - June 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2011 - June 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2010 - October 24, 2011
CHARLES SCHWAB & CO., INC.
June 23, 2003 - May 10, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
January 14, 2002 - February 14, 2003
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
