Garrick CarterCRD Number: 5575547
Current Firm: Strategic Advisers, Inc.
Garrick Carter (CRD# 5575547) is an Investment Advisor Representative working at Strategic Advisers, Inc. in Birmingham, AL and has over 9 years of experience in the finance industry.
Hightower Advisors, LLC
Wesban Financial Consultants, P.c.
Raymond James & Associates, Inc.
|Fidelity Brokerage Services LLC||Johnson City, TN||Oct 2013 - Current||4|
|Massmutual||Birmingham, AL||May 2009 - Oct 2013||4|
|Mml Investors Services Inc.||Birmingham, AL||May 2009 - Oct 2013||4|
|Edward Jones||St Louis, MO||Jul 2008 - Apr 2009||< 1|
|University Of Alabama System Office||Tuscaloosa, AL||Aug 2003 - Jul 2008||4|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Sep 2011|
|S66||NASAA Uniform Combined State Law Examination||Sep 2008|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management254,026MILLIONS
Total Number of Accounts688,691ACCOUNTS
Average Account Value$368,854
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VT, WA, WI, WV, WY
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