RC
Robert M. Carter
DISTRIBUTION SERVICES
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 6961244
RC
Professional summary
Robert M Carter is a registered financial professional currently at DISTRIBUTION SERVICES, LLC located in Jersey City, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2018. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
SMEAD CAPITAL MANAGEMENT, Yes - INVESTMENT RELATED, 2777 East Camelback Road, Suite 375 Phoenix, AZ 85016, Registered Investment Adviser, SALES ASSOCIATE, Start Date: 05/2018, more than 160 hours per month, more than 160 hours during securities trading hours, Sales and marketing of the strategy.
CRS (Client Relationship Summary) - BD
Click below to view Robert M Carter'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®
NoneExperience
Current
June 1, 2020 - Present
DISTRIBUTION SERVICES, LLC
Office #1: 30 Montgomery St #920, Jersey City, NJ 07302BD
CRD#: 25938
Jersey City, NJ
Past
August 30, 2018 - December 31, 2023
SMEAD CAPITAL MANAGEMENT, INC.
RIA
CRD#: 143567
W. Conshohocken, PA
Past
July 17, 2018 - May 29, 2020
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
W. Conshohocken, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/1/2020)
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Alaska(6/1/2020)
RR
Arizona(6/1/2020)
RR
Arkansas(6/1/2020)
RR
California(6/1/2020)
RR
Colorado(6/1/2020)
RR
Connecticut(6/1/2020)
RR
Delaware(6/1/2020)
RR
District of Columbia(6/1/2020)
RR
Florida(6/1/2020)
RR
Georgia(6/1/2020)
RR
Hawaii(6/1/2020)
RR
Idaho(6/1/2020)
RR
Illinois(6/1/2020)
RR
Indiana(6/1/2020)
RR
Iowa(6/1/2020)
RR
Kansas(6/1/2020)
RR
Kentucky(6/1/2020)
RR
Louisiana(6/1/2020)
RR
Maine(6/1/2020)
RR
Maryland(6/1/2020)
RR
Massachusetts(6/1/2020)
RR
Michigan(6/1/2020)
RR
Minnesota(6/1/2020)
RR
Mississippi(6/1/2020)
RR
Missouri(6/1/2020)
RR
Montana(6/1/2020)
RR
Nebraska(6/1/2020)
RR
Nevada(6/1/2020)
RR
New Hampshire(6/1/2020)
RR
New Jersey(6/1/2020)
RR
New Mexico(6/1/2020)
RR
New York(6/1/2020)
RR
North Carolina(6/1/2020)
RR
North Dakota(6/1/2020)
RR
Ohio(6/1/2020)
RR
Oklahoma(6/1/2020)
RR
Oregon(6/1/2020)
RR
Pennsylvania(6/1/2020)
RR
Puerto Rico(6/1/2020)
RR
Rhode Island(6/1/2020)
RR
South Carolina(6/1/2020)
RR
South Dakota(6/1/2020)
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Tennessee(6/1/2020)
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Texas(6/1/2020)
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Utah(6/1/2020)
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Vermont(6/1/2020)
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Virgin Islands(6/1/2020)
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Virginia(6/1/2020)
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Washington(6/1/2020)
RR
West Virginia(6/1/2020)
RR
Wisconsin(6/1/2020)
RR
Wyoming(6/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DISTRIBUTION SERVICES, LLC
DISTRIBUTION SERVICES, LLC | UMB DISTRIBUTION SERVICES, LLC | SUNSTONE FINANCIAL GROUP, INC. | SUNSTONE DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Wisconsin since 09/27/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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.
