Riley C. Deshazo

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CRD#: 6873020

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.

Riley C Deshazo, who also goes by Riley C De Shazo, Riley Craig De Shazo, was a registered financial professional .

Riley is a previously registered financial professional and started their career in finance in 2018. Riley had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Riley C De Shazo | Riley Craig De Shazo

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)

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

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

Past

April 13, 2018 - July 12, 2018

CARTER ADVISORY SERVICES, INC

RIA

CRD#: 116249

DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

CARTER ADVISORY SERVICES, INC

CARTER ADVISORY SERVICES, INC | CARTER DVISORY SERVICES, INC | CARTER ADVISORY SERVICES, INC.

CRD#: 116249 / SEC#: 801-60727

RIA

Registered Investment Advisory firm - (12/19/2005 Terminated)

Louisiana

Registered Investment Advisory firm - (7/23/2019 Approved)

New Mexico

Registered Investment Advisory firm - (8/16/2024 Approved)

Texas

Registered Investment Advisory firm - (3/13/1981 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

12222 Merit Drive Suite 1800, Dallas, TX 75251

Mailing Address

Phone number

(214) 363-4200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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