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Billy Randolph Carty

Carty & Company, Inc.

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About Billy Randolph Carty

Billy Randolph Carty is a financial advisor registered with Carty & Company, Inc.. Billy has been working in the financial services industry since 1973 and has held previous positions at KANE CARTY & BOLTON INC. He has a strong track record of success in the financial services industry, with experience in a variety of areas, including investment advising and securities trading. Billy is licensed to provide securities services in Arkansas, Connecticut, Florida, Illinois, Indiana, Iowa, Kansas, Missouri, Oklahoma, Tennessee, Texas, and Utah. Billy is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Billy Carty is currently registered with Carty & Company, Inc.. Carty & Company, Inc. is a Corporation formed on October 7, 1970. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

51

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Billy Carty’s Registration & Firm History

TN

02/06/1976 - Present

Carty & Company, Inc. (MEMPHIS TN)

NA

05/22/1972 - 08/02/1974

KANE CARTY & BOLTON INC

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Licenses & Designations

IA

Issued 12/28/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/15/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 03/24/1972

Series 00 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/1968

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 13 public disclosures for Billy Randolph Carty. Review regulatory record here.
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