Allen Carter Jr., financial advisor Chicago IL

Allen Carter Jr.

CRD Number: 1963914
Current Firm: Ubs Financial Services Inc.

Allen Carter Jr. (CRD# 1963914) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Chicago, IL and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Atlanta, GA May 1993 - Current 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1989
S65 NASAA Investment Advisors Law Examination Sep 1992
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 Allen G. Carter Jr.
Phone Number: 201-352-3000
Registered State(s):
  • GA
  • IL
  • TX
By the Numbers
  • Total Assets Under Management
    600,809
    MILLIONS
  • Total Number of Accounts
    1,077,471
    ACCOUNTS
  • Average Account Value
    $557,610
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

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

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