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JC

Justin Adam Carr

CRD# 6148768·Registered 2013 - 2015
Previously Registered: Being a previously registered professional could mean that Justin 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.

Professional Summary

Justin Adam Carr was a registered financial advisor. Justin was a previously registered financial professional and started their career in finance 2013 - 2015. Justin had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 3, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

13 years in the financial services industry

Current & Past Employments

N4 FINANCIAL, INC.·CRD# 134581
BD
Redwood City, CA
January 14, 2013 - April 17, 2015

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Current Firm

NF
N4 FINANCIAL, INC.

ALCHEMY ALTERNATIVES, INC. | N4 FINANCIAL, INC. | N3 FINANCIAL, INC. | BARASTONE CAPITAL, INC.

CRD#: 134581 / SEC#: 8-66849
BD
Terminated by SEC on 01/03/2025

Contact Information

Established

California since 01/01/2005

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
SYNTHYM, INC.SOLE SHAREHOLDER—
HOTOVEC, STEVEN DAVIDDIRECTOR & OFFICER, CCO2250236
ROGERS, MARK HDIRECTOR & OFFICER1762836

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2013About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2013About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Aug 2013

Series 7 — General Securities Representative Examination

Passed Jan 2013About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JC
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