Paul F. Carter

FOCUS SECURITIES LLC

Gainesville, VA 20155

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CRD#: 5950134

Professional summary

Paul Francis David Carter, who also goes by Paul Carter, Paul Francis David Carter, is a registered financial professional currently at FOCUS SECURITIES LLC located in Gainesville, Virginia.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2011. Paul has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Carter | Paul Francis David 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Francis David 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

February 8, 2024 - Present

FOCUS SECURITIES LLC

Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155

CRD#: 150589

Gainesville, VA

Past

May 4, 2021 - May 30, 2023

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

May 7, 2018 - October 8, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ATLANTA, GA

Past

August 5, 2016 - April 20, 2018

HARRIS WILLIAMS

CRD#: 113930

SAN FRANCISCO, CA

Past

June 4, 2015 - July 30, 2016

KROLL SECURITIES LLC

CRD#: 36927

LOS ANGELES, CA

Past

December 21, 2011 - August 14, 2012

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

NEW YORK, NY

Past

October 5, 2011 - December 20, 2011

ADVANCED EQUITIES, INC.

RIA

CRD#: 35545

NEW YORK, NY

Past

September 2, 2011 - August 14, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/8/2024)

California
(2/8/2024)

Connecticut
(2/8/2024)

Delaware
(2/8/2024)

Florida
(2/8/2024)

Georgia
(2/8/2024)

Maryland
(2/8/2024)

Michigan
(2/8/2024)

Missouri
(4/1/2024)

Montana
(2/8/2024)

Nevada
(2/8/2024)

New York
(2/8/2024)

Ohio
(11/20/2024)

Texas
(2/8/2024)

Utah
(2/8/2024)

Exams

State Security Law Exam

Series 63

Date: 6/5/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/29/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/3/2015

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/1/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FOCUS SECURITIES LLC

CRD#: 150589 / SEC#: , 8-68273

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

7371 Atlas Walk Way #259, Gainesville, VA 20155

Mailing Address

7371 Atlas Walk Way #259, Gainesville, VA 20155

Phone number

(404) 557-1045

Established

Georgia since 03/23/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FOCUS HOLDINGS USA, INC.	OWNER
BEARD, ROBERT GLENN	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER	5771682
THOMPSON, RICHARD FRANK JR.	FINOP, ER

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

Paul F. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Francis David Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

RAYMOND JAMES & ASSOCIATES, INC.

HARRIS WILLIAMS

KROLL SECURITIES LLC

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

ADVANCED EQUITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/2015

Series 66

Date: 9/29/2011

SIE

Date: 10/1/2018

Series 79

Date: 6/3/2015

Series 7

Date: 9/1/2011

FINRA

Current Firm

FOCUS SECURITIES LLC

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FOCUS SECURITIES LLC

TRUST BUT VERIFY

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