James F. Carter

ACADEMY SECURITIES

Chicago, IL 60606

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CRD#: 4878277

Professional summary

James Frederick Carter is a registered financial professional currently at ACADEMY SECURITIES, INC. located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

June 21, 2019 - Present

ACADEMY SECURITIES, INC.

Office #1: 205 West Wacker, Chicago, IL 60606

CRD#: 17433

Chicago, IL

Past

January 13, 2016 - July 5, 2019

MELVIN SECURITIES, L.L.C.

CRD#: 29767

CHICAGO, IL

Past

September 4, 2012 - September 11, 2015

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

CHICAGO, IL

Past

September 10, 2009 - August 21, 2012

JACKSON SECURITIES LLC

CRD#: 19897

CHICAGO, IL

Past

April 6, 2006 - January 10, 2008

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

HOUSTON, TX

Past

March 1, 2005 - July 15, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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

Illinois
(6/21/2019)

New York
(10/18/2019)

Texas
(4/30/2021)

Exams

State Security Law Exam

Series 63

Date: 10/18/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 1/5/2018

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 2/28/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

James F. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Frederick Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MELVIN SECURITIES, L.L.C.

THE WILLIAMS CAPITAL GROUP, L.P.

JACKSON SECURITIES LLC

CABRERA CAPITAL MARKETS, LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2019

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 1/5/2018

Series 7

Date: 2/28/2005

Series 24

Date: 5/6/2016

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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