Carter M. Springer

TRADITION WEALTH MANAGEMENT LLC

Edina, MN 55435

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CRD#: 7415768

Professional summary

Carter Matthew Springer, CFP® is a registered financial advisor currently at TRADITION WEALTH MANAGEMENT LLC located in Edina, Minnesota.

Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Carter has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(dba) TRADITION WEALTH MANAGEMENT; Investment Related; 7601 France Avenue South, Ste 100, Minneapolis, MN 55435; Financial Services; Administrative Assistant (Start Date 07/2021)/ Investment Advisory Representative (Start Date 10/2021); 160 hours, more or less, per month with the majority of hours per month occurring during trading hours; Provide administrative support to the licensed financial professionals in our office and as of 10/2021 Investment Advisory registered associate.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Matthew Springer'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: 2022

Experience

Current

October 18, 2021 - Present

TRADITION WEALTH MANAGEMENT LLC

Office #1: 7601 France Avenue South Suite 100, Edina, MN 55435

RIA

CRD#: 128314

Edina, MN

Past

September 16, 2021 - December 31, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Edina, MN

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".

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 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.

Highlighted states indicate IAR registrations

IAR

Minnesota
(10/18/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/16/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/10/2021

Securities Industry Essentials Examination

Current Firm

TRADITION WEALTH MANAGEMENT LLC

CRD#: 128314 / SEC#: 801-62666

RIA

Registered Investment Advisory firm - (1/30/2004 Approved)

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Contact information

Main Address

7601 France Avenue South Suite 100, Edina, MN 55435

Mailing Address

Phone number

(952) 563-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRADITION WEALTH MANAGEMENT ADVII (3/26/2025)

Regulatory assets under management

Total Number of Accounts	5,271
AUM (Assets Under Management)	$ 1,950,074,593

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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Carter M. Springer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Matthew Springer's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADITION WEALTH MANAGEMENT LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

TRADITION WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2021

Series 7TO

Date: 9/16/2021

SIE

Date: 6/10/2021

Current Firm

TRADITION WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADITION WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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