Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carter? Claim Your ProfileCarter Damon Crum is an investment professional with over 20 years of experience in the financial services industry. Carter is a Registered Representative of UBS Financial Services Inc., where Carter is a member of the firm's Los Gatos, CA office. Previously, Carter was a Registered Representative of Nollenberger Capital Partners Inc. and Citigroup Global Markets Inc. Carter has a Series 63, Series 65, Series 7, Series 9, Series 10, and Series 24 licenses. Carter has passed the Securities Industry Essentials (SIE) exam. Carter has a broad range of experience in financial services, including financial planning, portfolio management, and investment advisory services. Carter is a valuable resource for clients seeking investment advice and guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
02/04/2013 - Present
UBS Financial Services Inc. (LOS GATOS CA)
CA
01/10/2005 - 09/30/2010
NOLLENBERGER CAPITAL PARTNERS INC. (SAN JOSE CA)
NY
12/09/1999 - 01/13/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 01/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/18/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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