Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Carter is an investment advisor representative with Schwab Wealth Advisory, INC. Douglas has over 30 years of experience in the financial services industry. Douglas has passed several industry exams including Series 7, 63, 66, and 24. Douglas has been registered with the state of Nebraska for both Broker-Dealer and Investment Advisor services since 2022. Douglas has been registered with FINRA since 2024. Douglas previously worked at TD Ameritrade, Inc. and Moloney Securities Co., Inc.
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.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
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2
NE
01/09/2024 - Present
Schwab Wealth Advisory, Inc. (Omaha NE)
NE
06/12/2017 - 01/08/2024
TD AMERITRADE, INC. (OMAHA NE)
WA
04/29/2016 - 12/07/2016
MOLONEY SECURITIES CO., INC. (Gig Harbor WA)
NM
04/22/2013 - 05/02/2016
NATIONS FINANCIAL GROUP, INC. (RATON NM)
MO
04/03/2012 - 03/15/2013
MOLONEY SECURITIES CO., INC. (MANCHESTER MO)
IA
02/18/2010 - 05/04/2012
NATIONS FINANCIAL GROUP, INC. (CEDAR RAPIDS IA)
ID
08/18/2005 - 08/05/2009
AMERICAN INDEPENDENT SECURITIES GROUP, LLC (EAGLE ID)
AZ
03/04/2005 - 12/31/2005
SAMCO FINANCIAL SERVICES, INC. (PHOENIX AZ)
NE
10/24/1990 - 11/10/2004
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NA
09/14/1989 - 10/05/1990
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
NA
07/18/1989 - 09/20/1989
BLINDER, ROBINSON & CO., INC.
BOTH
Issued 7/18/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/28/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 5/17/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 4/25/2005
Series 24 - General Securities Principal Examination
BC
Issued 3/15/2005
Series 4 - Registered Options Principal Examination
BC
Issued 4/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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Nasdaq Stock Market
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