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Clinton K. Carrier
CETERA INVESTMENT ADVISERS LLC
LOUISVILLE, KY 40223
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CRD#: 5054604
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Professional summary
Clinton Kyle Carrier, who also goes by Clinton K Carrier, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Louisville, Kentucky and CETERA WEALTH SERVICES, LLC located in Louisville, Kentucky.
Clinton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Clinton has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clinton K Carrier
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.
1. NAME OF OTHER BUSINESS: SUBURBAN MASONIC LODGE #740; INVESTMENT RELATED: NO; ADDRESS: LOUISVILLE, KY 40214; NATURE OF BUSINESS: MASONIC LODGE; START DATE: 01/2024; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: TAKE IN ANNUAL DUES, MADE DEPOSITS. MAKE PAYMENTS ON MONTHLY BILLS. KEEP RECORDS DURING MEETINGS OF CLAIMS; 2. NAME OF OTHER BUSINESS: COMMONWEALTH CAPITAL MANAGEMENT LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL PLANNING; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR;
CRS (Client Relationship Summary) - RIA
Click below to view Clinton Kyle Carrier's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 19, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10503 Timberwood Circle Suite 205, Louisville, KY 40223RIA
CRD#: 105644
LOUISVILLE, KY
Current
March 19, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 10503 Timberwood Circle Suite 205, Louisville, KY 40223BD
CRD#: 13572
LOUISVILLE, KY
Past
December 7, 2011 - March 20, 2025
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
July 23, 2010 - March 20, 2025
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
February 22, 2010 - July 8, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CRESTWOOD, KY
Past
November 13, 2009 - February 12, 2010
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
January 11, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
LOUISVILLE, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Florida(3/19/2025)
RR
Indiana(3/19/2025)
RR
Kentucky(3/19/2025)
IAR
Kentucky(3/19/2025)
RR
Ohio(3/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Louisville, KY 40223TRUST BUT VERIFY
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