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Chauncey Carter

Charles Schwab & CO., Inc.

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About Chauncey Carter

Chauncey Carter is a financial advisor with over 10 years of experience in the industry. Chauncey is currently registered with Charles Schwab & CO., Inc. and has previously held positions at HARTFORD FUNDS DISTRIBUTORS, LLC, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC, SUNTRUST INVESTMENT SERVICES, INC., PNC INVESTMENTS, and M&T SECURITIES, INC. Chauncey is also a Registered Representative (RR) and holds the Series 6, 7, and 66 licenses.

Firm Information

Chauncey Carter is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Chauncey Carter’s Registration & Firm History

PA

10/25/2024 - Present

Charles Schwab & CO., Inc. (Wayne PA)

PA

02/23/2021 - 04/14/2022

HARTFORD FUNDS DISTRIBUTORS, LLC (Wayne PA)

DE

05/29/2018 - 11/13/2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEWARK DE)

MD

06/29/2017 - 05/11/2018

SUNTRUST INVESTMENT SERVICES, INC. (BOWIE MD)

MD

05/15/2015 - 06/20/2017

PNC INVESTMENTS (BALTIMORE MD)

MD

04/14/2014 - 03/30/2015

M&T SECURITIES, INC. (BALTIMORE MD)

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Licenses & Designations

BOTH

Issued 09/29/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/2015

Series 7 - General Securities Representative Examination

BC

Issued 04/14/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Chauncey Carter.
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