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EC

Eric M. Carter

Some features on this profile are disabled
CRD#: 5311392
EC

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.

Eric Michael Carter was a registered financial professional .

Eric is a previously registered financial professional and started their career in finance in 2007. Eric had worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 9, 2009 - January 30, 2015

MWTF CAPITAL MANAGEMENT, LLC

RIA
CRD#: 125789
SAN FRANCISCO, CA
Past

April 1, 2008 - January 15, 2009

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 12, 2008 - January 15, 2009

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
SAN FRANCISCO, CA
Past

June 27, 2007 - October 19, 2007

S & Y ASSET MANAGEMENT LLC

RIA
CRD#: 129754
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/26/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2008
General Securities Representative Examination

Current Firm

MC
MWTF CAPITAL MANAGEMENT, LLC
MWTF CAPITAL MANAGEMENT LLC | MWTF CAPITAL MANAGEMENT, LLC

CRD#: 125789 / SEC#:

California
Registered Investment Advisory firm - (11/15/2021 Terminated)
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Contact information

Main Address
San Francisco, CA
Mailing Address
Phone number
(415) 710-6933
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
CaliforniaERA - Active11/16/2021

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MWTF CAPITAL MANAGEMENT, LLC

CRD#: 125789

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