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James Frederick Carter

Academy Securities, Inc.

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About James Frederick Carter

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.

Firm Information

James Carter is currently registered with Academy Securities, Inc.. Academy Securities, Inc. is a corporation that was formed on November 7, 1985. It is approved and registered in 38 states and with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

30

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.

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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James Carter’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Frederick Carter.
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