RC
Roger A. Carter
SEPIO CAPITAL, LP
SALT LAKE CITY, UT 84121
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CRD#: 874053
RC
Professional summary
Roger Ashton Carter is a registered financial advisor currently at SEPIO CAPITAL, LP located in Salt Lake City, Utah.
Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Roger has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 and Series 7 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.
(1) I*18920 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: GRASS VALLEY RANCH LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 3560 SUGAR LEO ROAD 90 E. 200 N ST. GEORGE, UT, 877 NONE ST. GEORGE, UTAH 84790 NATURE OF BUSINESS: OTHER,RANCHING BUSINESS POSITION, TITLE, ASSOCIATION: GENERAL PARTNER, START DATE OF RELATIONSHIP: 1/1/1992 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: OFFICER (2) I*85508 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: B BAR K CASCADE RANCH LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 380 LAKE CREEK LOOP RD, EAGLE POINT, OREGON 97524 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 11/30/2006 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: CATTLE RANCH. (3) Betty Knoebel Charitable Trust; not investment-related; 4950 Yosemite St, F2 #327, Greenwood Village, CO 80111; charitable trust; co-trustee; 08/17/2018; 5 hours per month; duties: trust administration, communication with beneficiaries, portfolio management, distribution approval (4) Knoebel Estate Trusts; investment-related; 4950 Yosemite St, F2 #327, Greenwood Village, CO 80111; estate planning trusts; investment, distribution and administration committee member; 06/30/2021; 10 hours per month; duties: participate as member of investment, distribution and administration committees
CRS (Client Relationship Summary) - RIA
Click below to view Roger Ashton 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
May 12, 2017 - Present
SEPIO CAPITAL, LP
Office #1: 2795 E Cottonwood Pkwy Suite 600, Salt Lake City, UT 84121RIA
CRD#: 285645
SALT LAKE CITY, UT
Past
April 23, 2008 - May 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
April 23, 2008 - May 15, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
April 26, 2001 - April 25, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN FRANCISCO, CA
Past
April 2, 2001 - April 25, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN FRANCISCO, CA
Past
November 23, 1979 - April 6, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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".
SC
SEPIO CAPITAL, LP
AKTRIOM WEALTH MANAGEMENT, LLC | SEPIO CAPITAL, LP | SEPIO CAPITAL, LLC | SEPIO CAPITAL ADVISORS, LLC | CRI, LLC
CRD#: 285645 / SEC#: 801-108889
RIA
Registered Investment Advisory firm - (5/12/2017 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
Utah(5/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 9/17/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/14/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Current Firm
SC
SEPIO CAPITAL, LP
AKTRIOM WEALTH MANAGEMENT, LLC | SEPIO CAPITAL, LP | SEPIO CAPITAL, LLC | SEPIO CAPITAL ADVISORS, LLC | CRI, LLC
CRD#: 285645 / SEC#: 801-108889
RIA
Registered Investment Advisory firm - (5/12/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2795 E Cottonwood Parkway Suite 600, Salt Lake City, UT 84121
Mailing Address
Phone number
(415) 915-3708
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 345 |
| AUM (Assets Under Management) | $ 4,464,814,589 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
