Douglas Carter, financial advisor Manchester MO
93 score

Douglas Carter

CRD Number: 1963184
Current Firm: Moloney Investment Advisory LLC

Douglas Carter (CRD# 1963184) is an Investment Advisor Representative working at Moloney Investment Advisory LLC in Manchester, MO and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
Moloney Securities Asset Management LLC Manchester, MO Apr 2016 - Current < 1
Moloney Securities Company, Inc. Manchester, MO Apr 2016 - Current < 1
Moloney Investment Advisory LLC Manchester, MO Apr 2016 - Current < 1
Nations Financial Group, Inc. Raton, NM Apr 2013 - Apr 2016 3
Nations Financial Group, Inc. Cedar Rapids, IA Sep 2009 - Apr 2016 6
Martin Financial Advisors Raton, NM Mar 2013 - May 2013 < 1
Moloney Securities Co, Inc. Gig Harbor, WA Apr 2012 - Mar 2013 < 1
American Independent Securities Group, LLC Eagle, ID Dec 2004 - Aug 2009 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1989
S66 NASAA Uniform Combined State Law Examination Jul 2003
Contact Info for Douglas F. Carter
Phone Number: 314-909-0600
Firm Website: http://www.moseco.com
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AZ, CA, CO, FL, GA, HI, IA, ID, IL, KS, KY, MA, MD, ME, MI, MN, MO, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OR, RI, SC, TN, TX, UT, VA, WA, WI

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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