Charles Carter (CRD# 1099377) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Georgetown, TX and has over 35 years of experience in the finance industry.
CRD# 4349024
C.m.bidwell & Associates Ltd
Score
107
CRD# 2940880
Wall Street Financial Group, Inc.
Score
103
CRD# 2504698
Afam Capital, Inc.
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Transamerica Financial Advisors, Inc. | Austin, TX | Jan 2012 - Current | 6 |
| 365 Strategies | Austin, TX | Oct 2011 - Current | 6 |
| Fun For Less Tours | Draper, UT | Jan 2008 - Current | 10 |
| Cag Carter Family Limited Partnership | Georgetown, TX | Oct 2005 - Current | 12 |
| World Financial Group | Austin, TX | Jun 2001 - Current | 16 |
| Cuero Family Partnership Inc. | Georgetown, TX | Jan 1996 - Current | 22 |
| Charles Carter & Assoc. | Austin, TX | Jan 1982 - Current | 36 |
| Khc Ruth Family L P | Georgetown, TX | Oct 2005 - Apr 2014 | 8 |
| Investment Advisors International | Austin, TX | Jul 2006 - Jan 2012 | 5 |
| World Group Securities, Inc. | Austin, TX | Apr 2002 - Jan 2012 | 9 |
| Georgetown Isd Education Foundations | Georgetown, TX | Sep 2008 - Oct 2011 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 1983 |
| S65 | NASAA Investment Advisors Law Examination | Jan 2005 |
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
- TX
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Total Assets Under Management969MILLIONS
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Total Number of Accounts14,750ACCOUNTS
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Average Account Value$65,719
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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
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
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