Horace R. Carney

ALLY INVEST ADVISORS

CHARLOTTE, NC 28202

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CRD#: 6268481

Professional summary

Horace Richard Carney IV, CFP®, who also goes by Horace Richard Carney, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Charlotte, North Carolina and ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Horace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Horace has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Horace Richard Carney

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.

Judah Church. Non-Investment related. 12615 Steele Creek Rd, Charlotte NC, 28273. Drummer. 05/01/2015. 0-20 hrs/month. Drummer for local church. Self Employed. Non-Investment related. 13301 Mallard Landing Rd, Charlotte NC, 28278. Drum Teacher. 01/01/2017. 0-20 hrs/month. Teaching drum lessons to students.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Horace Richard Carney IV'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

Experience

Current

March 4, 2024 - Present

ALLY INVEST ADVISORS

Office #1: 601 S. Tryon Street Suite 100, Charlotte, NC 28202

RIA

CRD#: 170301

CHARLOTTE, NC

Current

March 4, 2024 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202

CRD#: 136131

Charlotte, NC

Past

May 26, 2016 - February 7, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

CHARLOTTE, NC

Past

December 10, 2013 - February 7, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, 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".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 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.

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

North Carolina
(3/4/2024)

IAR

North Carolina
(3/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/2013

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: 12/10/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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

Horace R. Carney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Horace Richard Carney IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2016

Series 63

Date: 12/19/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/10/2013

FINRA

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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