Brice P. Carter
FINANCIAL STRATEGIES GROUP,
FENTON, MI 48430
Some features on this profile are disabled
CRD#: 5947902
Professional summary
Brice Patrick Carter, CFP®, ChFC®, CIMA® is a registered financial advisor currently at FINANCIAL STRATEGIES GROUP, INC located in Fenton, Michigan.
Brice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Brice has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
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.
[Insurance Brokering; Appointed with outside carriers for the purpose of brokering non-registered insurance products; 2270 Jolly Oak Rd Suite 2 Okemos, MI 48864; Start Date 03/2016; Role/Title: Insurance Broker; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
[OPERATING UNDER THE DBA NAME OF FINANCIAL STRATEGIES GROUP, INC. FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES; INVESTMENT RELATED; ROLE/TITLE: ASSOCIATE; ADDRESS: OKEMOS, MI; START DATE: 07/2012]
[Child and Family Charities; Provides services to under privileged and at risk youth. These services include adoption, foster care, housing, and counseling.; 4287 Five Oaks Dr, Lansing, MI 48911; Start Date 03/2016; Role/Title: Board Member; Not Investment Related; 2 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Brice Patrick 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®
CFP®
Start date: 2013
Experience
Current
August 1, 2017 - Present
FINANCIAL STRATEGIES GROUP, INC
Office #1: 265 N Alloy Drive, Fenton, MI 48430RIA
CRD#: 289054
FENTON, MI
Past
May 11, 2012 - August 2, 2017
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
OKEMOS, MI
Past
November 24, 2011 - August 2, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
OKEMOS, MI
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".
FS
FINANCIAL STRATEGIES GROUP, INC
FINANCIAL STRATEGIES GROUP, INC | FINANCIAL STRATEGIES GROUP, LLC | FINANCIAL STRATEGIES GROUP, INC.
CRD#: 289054 / SEC#: 801-110898
RIA
Registered Investment Advisory firm - (8/1/2017 Approved)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
Michigan(8/1/2017)
IAR
Texas(7/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FS
FINANCIAL STRATEGIES GROUP, INC
FINANCIAL STRATEGIES GROUP, INC | FINANCIAL STRATEGIES GROUP, LLC | FINANCIAL STRATEGIES GROUP, INC.
CRD#: 289054 / SEC#: 801-110898
RIA
Registered Investment Advisory firm - (8/1/2017 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2270 Jolly Oak Road., Suite 2, Okemos, MI 48864
Mailing Address
Phone number
(800) 804-0420
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,170 |
| AUM (Assets Under Management) | $ 550,090,756 |
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.
