Charles Carter, financial advisor Austin TX

Charles Carter

CRD Number: 1099377
Current Firm: Transamerica Financial Advisors, Inc.

Charles Carter (CRD# 1099377) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Austin, TX and has over 41 years of experience in the finance industry.

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Company Name Location Dates Years
Cag Carter Family Limited Partnership Georgetown, TX Oct 2021 - Current 2
Khc Ruth Limited Partnership Georgetown, TX Dec 2020 - Current 3
Rental Property Georgetown, TX Jun 2015 - Current 8
Transamerica Financial Advisors, Inc. Austin, TX Jan 2012 - Current 12
365 Strategies Austin, TX Oct 2011 - Current 12
Fun For Less Tours Draper, UT Jan 2008 - Current 16
Cag Carter Family Limited Partnership Georgetown, TX Oct 2005 - Current 18
World Financial Group Austin, TX Jun 2001 - Current 22
Cuero Family Partnership Inc. Georgetown, TX Jan 1996 - Current 28
Charles Carter & Assoc. Austin, TX Jan 1982 - Current 42
Khc Ruth Family L P Georgetown, TX Oct 2005 - Apr 2014 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1983
S65 NASAA Investment Advisors Law Examination Jan 2005
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Charles A. Carter
Phone Number: 727-299-1800
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    1,815
    MILLIONS
  • Total Number of Accounts
    59,659
    ACCOUNTS
  • Average Account Value
    $30,430
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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