Thomas S. 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.
Thomas Scott Carter was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2010 - August 4, 2025
SEAPORT GLOBAL SECURITIES LLC
October 27, 2008 - January 26, 2010
MORGAN JOSEPH TRIARTISAN LLC
February 8, 2005 - February 8, 2008
PALI CAPITAL, INC.
February 2, 2004 - January 31, 2005
BSG MARKETS LLC
February 28, 2002 - January 7, 2004
GUGGENHEIM SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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