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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey J. Carter is a financial advisor with B. Riley Wealth Advisors, Inc. in Los Angeles, CA. Jeffrey has been working in the financial services industry since 2007. Prior to joining B. Riley, Jeffrey was a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Jeffrey is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7 and 66 securities licenses. Jeffrey specializes in providing financial planning, portfolio management, and pension consulting services to individuals, families, and businesses. Jeffrey is also registered with the state of California as an Investment Advisor Representative.
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.
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.
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2
CA
09/08/2023 - Present
B. Riley Wealth Advisors, Inc. (Los Angeles CA)
CA
03/01/2016 - 09/09/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
10/01/2012 - 03/29/2016
J.P. MORGAN SECURITIES LLC (NEWBURY PARK CA)
CA
10/25/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WESTLAKE VILLAGE CA)
CA
02/02/2009 - 10/04/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ENCINO CA)
NJ
07/23/2007 - 12/08/2008
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 11/03/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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