Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Glen? Claim Your ProfileGlen Anthony Carter is a financial advisor with over 30 years of experience in the industry. Currently, Glen is registered with RBC Capital Markets, LLC. Glen has experience with several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Securities LLC. Glen holds several licenses including Series 3, 7, 9, 10, 63, and SIE. Glen specializes in providing portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles. Glen is also a Director at Westpath, an investment management firm for pension assets.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
04/11/2012 - Present
RBC Capital Markets, LLC (AUSTIN TX)
TX
09/16/2010 - 02/02/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
02/27/2009 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (DALLAS TX)
TX
01/05/1995 - 03/03/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
NA
07/22/1982 - 12/15/1984
E. F. HUTTON & COMPANY INC
BC
Issued 03/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/10/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/1996
Series 3 - National Commodity Futures Examination
BC
Issued 12/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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