Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carter? Claim Your ProfileCarter John Harris is a financial professional who has been in the industry since 1985. Carter is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 1988. Carter is also a Registered Investment Advisor and has been registered with the state of Texas since 1998. Carter has a wide range of experience in the financial industry, including experience in providing investment advice to individuals, businesses, and institutions. Carter holds a variety of licenses and certifications, including the Series 7, 63, 65, 31, and 15 licenses. Carter also holds the SIE exam certification. Carter is a valuable resource for clients who are looking for a financial professional with a long track record of success.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
07/15/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WACO TX)
NA
08/20/1985 - 07/16/1988
A. G. EDWARDS & SONS, INC.
IA
Issued 05/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 08/17/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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