Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Carter is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. David has over 10 years of experience in the financial industry and holds a Series 6, 7, and 66 licenses, as well as the SIE exam. David previously worked at J.P. Morgan Securities LLC and Chase Investment Services Corp. David is registered to provide investment advice in 39 states, including Texas, Illinois, and New York. David is a licensed agent for both Broker-Dealer and Investment Advisor firms and specializes in Portfolio Management for Businesses and Individuals.
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
NY
09/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
IL
10/01/2012 - 06/16/2022
J.P. MORGAN SECURITIES LLC (Chicago IL)
IL
05/15/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (STREAMWOOD IL)
BOTH
Issued 08/31/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2018
Series 7 - General Securities Representative Examination
BC
Issued 05/14/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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