Charles D. 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.
Charles Dwight Carter, who also goes by Charles Carter, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2008. Charles had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2015 - September 1, 2015
BULL OAK CAPITAL, LLC
February 4, 2015 - March 13, 2015
PRUCO SECURITIES, LLC.
January 28, 2015 - March 13, 2015
PRUCO SECURITIES, LLC.
November 26, 2012 - June 27, 2013
UBS FINANCIAL SERVICES INC.
November 16, 2012 - June 27, 2013
UBS FINANCIAL SERVICES INC.
June 11, 2008 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2008 - November 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
BULL OAK CAPITAL, LLC
CRD#: 170325 / SEC#: 801-124736
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BULL OAK CAPITAL, LLC
CRD#: 170325 / SEC#: 801-124736
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 196,175,570 |
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.
