Robert L. Takacs

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CRD#: 834001

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.

Robert Louis Takacs was a registered financial advisor .

Robert is a previously registered financial advisor and started their career in finance in 1979. Robert had worked at 13 firms and has passed the Series 65, Series 63, Series 79TO, Series 7TO, SIE, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

June 11, 2012 - January 17, 2025

CARTER, TERRY & COMPANY, INC.

CRD#: 16365

ATLANTA, GA

Past

January 17, 2012 - June 7, 2012

L.M. KOHN & COMPANY

CRD#: 27913

ATLANTA, GA

Past

October 24, 2007 - January 17, 2012

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

June 6, 2005 - October 24, 2007

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

February 17, 2004 - May 24, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TUCKER, GA

Past

February 12, 2004 - February 13, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

TUCKER, GA

Past

February 12, 2004 - May 24, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 5, 2004 - February 2, 2004

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

NEW YORK, NY

Past

January 13, 2001 - February 2, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 29, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 27, 1997 - April 13, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

February 9, 1990 - February 11, 1997

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 27, 1985 - February 13, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 2, 1985 - April 22, 1985

CRALIN & CO., INC.

CRD#: 7605

Past

February 27, 1984 - December 20, 1984

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

April 30, 1979 - March 1, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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).

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.

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 65

Date: 3/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 10/31/1994

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 2/19/1977

General Securities Representative Examination

Current Firm

CARTER, TERRY & COMPANY, INC.

CRD#: 16365 / SEC#: 801-113129, 8-33797

RIA

Registered Investment Advisory firm - SEC (4/30/2018 Approved)

Florida

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (7/26/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (6/29/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

3060 Peachtree Road Suite 1200 Suite 1200, Atlanta, GA 30305

Mailing Address

3060 Peachtree Road Suite 1200, Atlanta, GA 30305

Phone number

(404) 364-2070

Established

Georgia since 03/12/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CARTER TERRY INVESTOR BROCHURE (3/25/2025)

HASPEL BROCHURE SUPPLEMENT (3/25/2025)

CARTER TERRY WRAP BROCHURE (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST ATLANTA FINANCIAL SERVICES, INC.	OWNER
CARTER, BELFIELD HOWELL JR	GS / CHAIRMAN	41990
LASCO, ELIZABETH D	CCO/CCO ADV	2506654
MONTET, KRISTIN WALSH	SROP/ CROP / MP/ MS/ GS / FN / CFO	1084500
TERRY, TIMOTHY JOE	PRESIDENT/CEO	1051586

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 111,326,459

Disclosures

Regulatory Event	2
Arbitration	1

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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Firm Stability Insights

Robert L. Takacs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

L.M. KOHN & COMPANY

MIDSOUTH CAPITAL, INC.

J.P. TURNER & COMPANY, L.L.C.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

J.C. BRADFORD & CO.

RAYMOND JAMES & ASSOCIATES, INC.

LEHMAN BROTHERS INC.

CRALIN & CO., INC.

THOMSON MCKINNON SECURITIES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CARTER, TERRY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/1/2001

Series 63

Date: 3/20/1984

Series 79TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

PC

Date: 10/31/1994

Series 7

Date: 2/19/1977

Current Firm

CARTER, TERRY & COMPANY, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CARTER, TERRY & COMPANY, INC.

TRUST BUT VERIFY

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