Benjamin Carter
Professional summary
Being a previously registered professional could mean that this person 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.
Benjamin Carter, who also goes by Benjamin Henry Carter, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2018. Benjamin had worked at 2 firms and has passed the Series 65, Series 99TO, Series 7TO, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2021 - July 5, 2022
CANNON ADVISORS
January 23, 2018 - March 3, 2021
WELLS FARGO SECURITIES, LLC
Primary Firm SEC Registration
CANNON ADVISORS
CRD#: 293929 / SEC#: 801-121835
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
CANNON ADVISORS
CRD#: 293929 / SEC#: 801-121835
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 721 |
| AUM (Assets Under Management) | $ 142,414,019 |
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.
