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John M Carter

Siebert Williams Shank & CO., LLC

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About John M Carter

John M. Carter is a financial advisor with Siebert Williams Shank & CO., LLC. John has been working in the financial industry since September 17, 1990. John is registered with the Financial Industry Regulatory Authority (FINRA) and is a licensed Series 7, 24, 52, 53, 63, and 79 representative. John holds a Series 63 license in Alaska, California, Florida, Kentucky, Massachusetts, Michigan, New Jersey, and New York. John is also registered with the state of New York. John has been with Siebert Williams Shank & CO., LLC since March 8, 2005. John was previously employed by M. R. Beal & Company and Painewebber Incorporated.

Firm Information

John Carter is currently registered with Siebert Williams Shank & CO., LLC. Siebert Williams Shank & CO., LLC is a Limited Liability Company that was formed in March 1997. The firm is registered in all 50 states and with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

88

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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John Carter’s Registration & Firm History

NY

03/08/2005 - Present

Siebert Williams Shank & CO., LLC (NEW YORK NY)

NY

11/24/1990 - 10/02/2003

M. R. BEAL & COMPANY (NEW YORK NY)

NJ

04/29/1987 - 12/07/1988

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 01/12/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/19/1998

Series 24 - General Securities Principal Examination

BC

Issued 05/22/1998

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/25/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John M Carter.
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