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Charles Arnold Carter

Transamerica Financial Advisors, Inc.

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About Charles Arnold Carter

Charles Arnold Carter is a financial advisor who has been in the industry since 1983. Charles is registered with Transamerica Financial Advisors, Inc. in Austin, Texas. Charles has experience with Transamerica Financial Advisors, Inc., World Group Securities, Inc., WMA Securities, Inc., Intersecurities, Inc., and First American National Securities, Inc.. Charles is also registered with the state of Wisconsin. Charles has earned both Series 6 and Series 63 licenses. Charles is a member of the state of Texas, the state of Wisconsin, and FINRA. Charles is also a registered investment advisor and is active in the industry.

Firm Information

Charles Carter is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Charles Carter’s Registration & Firm History

TX

01/06/2012 - Present

Transamerica Financial Advisors, Inc. (Austin TX)

TX

04/12/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (AUSTIN TX)

GA

04/12/1994 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

FL

03/16/1992 - 06/06/1994

INTERSECURITIES, INC. (ST. PETERSBURG FL)

GA

02/24/1983 - 03/13/1992

FIRST AMERICAN NATIONAL SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 01/29/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/22/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/06/1985

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/23/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Charles Arnold Carter. Review regulatory record here.
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