Carter L. Ellis
GUARDIAN WEALTH ADVISORS
DURHAM, NC 27707
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CRD#: 6566004
Professional summary
Carter Lindsay Ellis, CFP® is a registered financial advisor currently at GUARDIAN WEALTH ADVISORS, LLC located in Durham, North Carolina.
Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Carter has worked at 2 firms 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.
1. 3616 SHANNON ROAD, LLC; NOT INVESTMENT RELATED; REAL ESTATE HOLDING, BUILDING OWNER; 04/2022; 2 HRS/MONTH OUTSIDE TRADING HOURS. 2. VALLEY PEAK TAX & ACCOUNTING; NOT INVESTMENT RELATED; 3616 SHANNON ROAD, SUITE 101, DURHAM, NC, 27707; TAX PREPARATION & BUSINESS CONSULTING; PARTNER, TAX PREPARER; CO-FOUNDER; 12/2024; 40 HRS/MONTH; HRS/MONTH DURING TRADING HOURS VARIES; PREPARES TAX RETURNS FOR INDIVIDUALS, HOUSEHOLDS, AND BUSINESSES.
CRS (Client Relationship Summary) - RIA
Click below to view Carter Lindsay Ellis'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: 2017
Experience
Current
January 4, 2022 - Present
GUARDIAN WEALTH ADVISORS, LLC
Office #1: 3616 Shannon Rd Suite 101, Durham, NC 27707RIA
CRD#: 305412
DURHAM, NC
Past
September 30, 2015 - January 4, 2022
KUHN ADVISORS, INC.
RIA
CRD#: 117816
DURHAM, 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".
GW
GUARDIAN WEALTH ADVISORS, LLC
BLUE LINE INVESTING | VALLEY PEAK FINANCIAL | SILO WEALTH | LSG INVESTMENT GROUP | INGRAM FINANCIAL | ID WEALTH | GWP HOLDINGS, LLC | GUARDIAN WEALTH PARTNERS | GUARDIAN WEALTH ADVISORS, LLC | GATHER WEALTH | FINANCE ROADMAP PLANNING | DUNHAM & DEITEL WEALTH MANAGEMENT | CORNERSTONE WEALTH CONSULTING SERVICES LLC | CENTERPOINT FINANCIAL GROUP, INC.
CRD#: 305412 / SEC#: 801-118121
RIA
Registered Investment Advisory firm - (2/24/2020 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
North Carolina(1/4/2022)
Current Firm
GW
GUARDIAN WEALTH ADVISORS, LLC
BLUE LINE INVESTING | VALLEY PEAK FINANCIAL | SILO WEALTH | LSG INVESTMENT GROUP | INGRAM FINANCIAL | ID WEALTH | GWP HOLDINGS, LLC | GUARDIAN WEALTH PARTNERS | GUARDIAN WEALTH ADVISORS, LLC | GATHER WEALTH | FINANCE ROADMAP PLANNING | DUNHAM & DEITEL WEALTH MANAGEMENT | CORNERSTONE WEALTH CONSULTING SERVICES LLC | CENTERPOINT FINANCIAL GROUP, INC.
CRD#: 305412 / SEC#: 801-118121
RIA
Registered Investment Advisory firm - (2/24/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609
Mailing Address
Phone number
(919) 874-1900
Established
Firm type
Fiscal year end
# of Employees
43
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,683 |
| AUM (Assets Under Management) | $ 2,051,517,525 |
Red Flags
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Company Information
GUARDIAN WEALTH ADVISORS, LLC
CRD#: 305412Durham, NC 27707TRUST BUT VERIFY
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