Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carter? Claim Your ProfileCarter Bagley is an investment professional with over 25 years of experience in the financial services industry. Carter has held leadership positions at both Merrill Lynch, Pierce, Fenner & Smith Incorporated and A. G. Edwards & Sons, Inc. Carter currently works at UBS Financial Services Inc., where he has been employed since 2013. Carter has been a registered representative with FINRA, a registered investment advisor and/or a securities agent in Florida, Georgia, Illinois, Maryland, Massachusetts, New York, North Carolina, South Carolina, Tennessee, Utah and Virginia.
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
NC
10/30/2006 - Present
UBS Financial Services Inc. (ASHEVILLE NC)
MO
05/10/2001 - 03/15/2004
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
09/09/1997 - 06/12/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 03/17/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/05/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1997
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
Not sure Carter Bagley is the right advisor for you? Invested Better is here to help.
