Keith L. Carter

ASCENDOR WEALTH

Wilmington, NC 28403

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CRD#: 5887012

Professional summary

Keith Lyman Carter, CFP® is a registered financial advisor currently at ASCENDOR WEALTH, LLC located in Wilmington, North Carolina.

Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Keith has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Keith Lyman Carter's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

February 21, 2011 - Present

ASCENDOR WEALTH, LLC

Office #1: 5700 Oleander Drive, Wilmington, NC 28403

RIA

CRD#: 148969

Wilmington, NC

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".

ASCENDOR WEALTH, LLC

ASCENDOR ALLIANCE, LLC | ASCENDOR WEALTH, LLC

CRD#: 148969 / SEC#: 801-133828

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

North Carolina

Registered Investment Advisory firm - (8/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(2/21/2011)

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: 2/18/2011

Uniform Investment Adviser Law Examination

Current Firm

ASCENDOR WEALTH, LLC

ASCENDOR ALLIANCE, LLC | ASCENDOR WEALTH, LLC

CRD#: 148969 / SEC#: 801-133828

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

North Carolina

Registered Investment Advisory firm - (8/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

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Contact information

Main Address

5700 Oleander Drive, Wilmington, NC 28403

Mailing Address

Phone number

(910) 790-0122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASCENDOR WEALTH, LLC ADV 2A & 2B (9/19/2025)

Regulatory assets under management

Total Number of Accounts	370
AUM (Assets Under Management)	$ 116,824,613

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/07/2024	Cover Page	Report
09/22/2023	Cover Page	Report
12/22/2022	Cover Page	Report

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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Keith L. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Lyman Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENDOR WEALTH, LLC

Primary Firm SEC Registration

ASCENDOR WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/2011

Current Firm

ASCENDOR WEALTH, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENDOR WEALTH, LLC

TRUST BUT VERIFY

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