Unclaimed
James Frederick Carter is a securities professional with over 15 years of experience in the financial services industry. James is currently registered with Academy Securities, Inc. and holds a Series 7, Series 24, Series 50, Series 52TO, and Series 63 license. James has also been previously registered with Melvin Securities, L.L.C., The Williams Capital Group, L.P., Jackson Securities LLC, Cabrera Capital Markets, LLC and J.P. Morgan Securities 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.
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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2
IL
06/21/2019 - Present
Academy Securities, Inc. (Chicago IL)
IL
01/13/2016 - 07/05/2019
MELVIN SECURITIES, L.L.C. (CHICAGO IL)
IL
09/04/2012 - 09/11/2015
THE WILLIAMS CAPITAL GROUP, L.P. (CHICAGO IL)
IL
09/10/2009 - 08/21/2012
JACKSON SECURITIES LLC (CHICAGO IL)
TX
04/06/2006 - 01/10/2008
CABRERA CAPITAL MARKETS, LLC (HOUSTON TX)
NY
03/01/2005 - 07/15/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 10/18/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2018
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 02/28/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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