Raymond A. Carter

WNY ASSET MANAGEMENT

WILLIAMSVILLE, NY 14221

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CRD#: 721722

Professional summary

Raymond Andrew Carter, CFP® is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Williamsville, New York and LPL FINANCIAL LLC located in Orchard Park, New York.

Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Raymond has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Andrew Carter's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 1999

Experience

Current

June 30, 2023 - Present

WNY ASSET MANAGEMENT, LLC

Office #1: 6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

RIA

CRD#: 153872

WILLIAMSVILLE, NY

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 6470 New Taylor Road, Orchard Park, NY 14127

RIA

CRD#: 6413

ORCHARD PARK, NY

Past

July 10, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

May 4, 2021 - July 10, 2025

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Orchard Park, NY

Past

January 7, 1991 - July 10, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Orchard Park, NY

Past

March 18, 1987 - January 25, 1991

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

March 22, 1984 - January 25, 1991

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

March 5, 1984 - May 12, 1986

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

January 7, 1981 - March 12, 1984

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

January 7, 1981 - March 12, 1984

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

January 7, 1981 - March 12, 1984

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 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.

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

California
(7/10/2025)

Connecticut
(7/10/2025)

Delaware
(7/10/2025)

Florida
(7/10/2025)

Illinois
(7/10/2025)

Indiana
(7/10/2025)

Maryland
(7/10/2025)

Massachusetts
(7/10/2025)

Missouri
(7/10/2025)

New Hampshire
(7/10/2025)

New Mexico
(7/10/2025)

IAR

New York
(6/30/2023)

New York
(7/10/2025)

North Carolina
(7/10/2025)

Ohio
(7/10/2025)

Pennsylvania
(7/10/2025)

Rhode Island
(7/10/2025)

South Dakota
(7/10/2025)

IAR

Texas
(6/30/2023)

Texas
(7/10/2025)

Virginia
(7/10/2025)

Washington
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

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Contact information

Main Address

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

Mailing Address

Phone number

(716) 626-0060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts	3,256
AUM (Assets Under Management)	$ 1,729,468,767

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.

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IAR

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Advisor Monitoring

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Raymond A. Carter

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Andrew Carter's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

EMPIRE NATIONAL SECURITIES, INCORPORATED

EMPIRE NATIONAL SECURITIES, INCORPORATED

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

WNY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

Series 6

Date: 1/5/1981

Series 24

Date: 6/23/1987

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WNY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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