Joshua R. Carter
Professional summary
Joshua Roger Carter, who also goes by Joshua R Carter, Joshua Roger Carter, is a registered financial advisor currently at SEPIO CAPITAL, LP located in Salt Lake City, Utah.
Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joshua has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Roger Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2017 - Present
SEPIO CAPITAL, LP
Office #1: 2795 E Cottonwood Parkway Suite 600, Salt Lake City, UT 84121January 30, 2009 - May 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 21, 2009 - May 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2003 - January 20, 2009
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
SEPIO CAPITAL, LP
CRD#: 285645 / SEC#: 801-108889
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/29/2021)
Exams
Current Firm
SEPIO CAPITAL, LP
CRD#: 285645 / SEC#: 801-108889
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 345 |
| AUM (Assets Under Management) | $ 4,464,814,589 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/28/2023 |
Red Flags
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