Antonio A. Carter
Professional summary
Antonio A Carter, who also goes by Antinio A Carter, Antonio Adelard Carter, Antonio Adelarde Carter, Tony Carter, Antonio Carter, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Gilbert, Arizona.
Antonio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Antonio has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Antonio A Carter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Antonio A Carter's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2023 - Present
PRINCIPAL SECURITIES, INC.
May 18, 2023 - Present
PRINCIPAL SECURITIES, INC.
October 14, 2022 - April 27, 2023
M FINANCIAL ASSET MANAGEMENT, INC.
September 9, 2022 - April 27, 2023
M HOLDINGS SECURITIES, INC.
September 9, 2022 - April 27, 2023
M HOLDINGS SECURITIES, INC.
December 11, 2015 - August 30, 2022
COMMONWEALTH FINANCIAL NETWORK
December 10, 2015 - August 30, 2022
COMMONWEALTH FINANCIAL NETWORK
October 2, 2015 - December 7, 2015
CUSO FINANCIAL SERVICES, L.P.
October 2, 2015 - December 22, 2015
SORRENTO PACIFIC FINANCIAL, LLC
October 1, 2015 - December 7, 2015
CUSO FINANCIAL SERVICES, L.P.
October 1, 2015 - December 22, 2015
SORRENTO PACIFIC FINANCIAL, LLC
March 6, 2012 - September 30, 2015
COMMONWEALTH FINANCIAL NETWORK
June 28, 2011 - September 30, 2015
COMMONWEALTH FINANCIAL NETWORK
November 17, 2010 - June 24, 2011
SIGNATOR INVESTORS, INC.
June 16, 2008 - November 12, 2010
WALNUT STREET SECURITIES, INC.
June 16, 2008 - November 12, 2010
TOWER SQUARE SECURITIES, INC.
June 16, 2008 - November 12, 2010
NEW ENGLAND SECURITIES
June 16, 2008 - November 12, 2010
MSI FINANCIAL SERVICES, INC.
June 16, 2008 - November 12, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
October 31, 2005 - April 25, 2008
CITIZENS SECURITIES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2025)
(2/21/2025)
(5/18/2023)
(5/19/2023)
(5/18/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
