Billy N. 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.
Billy Nick Carter, who also goes by Nick Carter, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 2011. Billy had worked at 4 firms and has passed the Series 63, Series 57TO, 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
May 3, 2024 - March 13, 2025
CUMBERLAND SECURITIES LLC
October 5, 2017 - May 3, 2024
DRW SECURITIES, L.L.C.
June 13, 2012 - September 29, 2017
RGM SECURITIES, LLC
June 9, 2011 - June 12, 2012
BLINKBOX, LTD.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
CUMBERLAND SECURITIES LLC
CRD#: 13970 / SEC#: , 8-31215
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
