Jimmy R. 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.
Jimmy Ray Carter was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1980. Jimmy had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1989 - April 27, 1989
KNIBBE FINANCIAL GROUP, INC.
November 29, 1983 - December 9, 1988
TEXAS INDEPENDENT SECURITIES, INC.
January 31, 1983 - October 5, 1983
HILLTOP SECURITIES INC.
October 11, 1982 - February 16, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 23, 1980 - August 27, 1982
PRINCIPAL FINANCIAL SECURITIES,INC.
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
Current Firm
KNIBBE FINANCIAL GROUP, INC.
CRD#: 14436 / SEC#: , 8-30685
Contact information
Documents
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.
