Al J. Doss-carter

APPLIED WEALTH MANAGEMENT

BAKERSFIELD, CA 93309

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CRD#: 5779064

Professional summary

Al J Doss-carter, who also goes by Jermaine Carter, Al J Doss Carter, Al Jermaine Doss Carter, Al Jermaine Doss-carter, is a registered financial advisor currently at APPLIED WEALTH MANAGEMENT located in Bakersfield, California.

Al is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Al has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jermaine Carter | Al J Doss Carter | Al Jermaine Doss Carter | Al Jermaine Doss-Carter

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.

INSURANCE AGENT; INVESTMENT RELATED; INSURANCE SALES; SPENDS APPROX 15 HRS/MTH AND 10 HRS/MTH DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Al J Doss-carter'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®

None

Experience

Current

April 29, 2022 - Present

APPLIED WEALTH MANAGEMENT

Office #1: 5500 Ming Ave Suite 265, Bakersfield, CA 93309

RIA

CRD#: 318732

BAKERSFIELD, CA

Past

April 29, 2022 - January 6, 2024

APPLIED WEALTH MANAGEMENT

RIA

CRD#: 318732

BAKERSFIELD, CA

Past

May 7, 2019 - May 24, 2022

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SAN RAMON, CA

Past

May 3, 2019 - May 24, 2022

PARK AVENUE SECURITIES LLC

CRD#: 46173

SAN RAMON, CA

Past

July 30, 2013 - May 10, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

LOS ANGELES, CA

Past

July 16, 2013 - May 10, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

LOS ANGELES, CA

Past

November 14, 2012 - June 25, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WOODLAND HLS, CA

Past

September 2, 2010 - June 25, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WOODLAND HLS, CA

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.

Highlighted states indicate IAR registrations

IAR

California
(4/29/2022)

IAR

Nevada
(1/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/12/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/1/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APPLIED WEALTH MANAGEMENT

APPLIED WEALTH MANAGEMENT | APPLIED WEALTH MANAGEMENT FINANCIAL & INSURANCE SERVICES LLC

CRD#: 318732 / SEC#:

California

Registered Investment Advisory firm - (4/29/2022 Approved)

Georgia

Registered Investment Advisory firm - (10/20/2022 Approved)

Nevada

Registered Investment Advisory firm - (8/11/2022 Approved)

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Contact information

Main Address

5500 Ming Ave Suite 265, Bakersfield, CA 93309

Mailing Address

Phone number

(818) 726-1842

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 44,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Al J. Doss-carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Al J Doss-carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

APPLIED WEALTH MANAGEMENT

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2012

Series 63

Date: 10/8/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2012

Series 6

Date: 9/1/2010

Current Firm

APPLIED WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APPLIED WEALTH MANAGEMENT

TRUST BUT VERIFY

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