Roger Carter, financial advisor San Francisco CA
93 score

Roger Carter

CRD Number: 874053
Current Firm: Sepio Capital, LLC

Roger Carter (CRD# 874053) is an Investment Advisor Representative working at Sepio Capital, LLC in San Francisco, CA and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
Sepio Capital, LLC San Francisco, CA May 2017 - Current < 1
Bank Of America, N.a. San Francisco, CA Jun 2011 - May 2017 5
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco, CA Apr 2008 - May 2017 9
Morgan Stanley & Company Incorported San Francisco, CA Mar 2001 - Apr 2008 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1979
S65 NASAA Investment Advisors Law Examination Dec 1994
Contact Info for Roger A. Carter
Phone Number: (415) 915-3708
Firm Website: http://www.sepiocap.com
Registered State(s):
  • CA
  • UT
By the Numbers
  • Total Assets Under Management
    2,610
    MILLIONS
  • Total Number of Accounts
    991
    ACCOUNTS
  • Average Account Value
    $2,633,703
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, TX, UT

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

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