Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Carter has been in the financial services industry for over 10 years and is currently registered with UBS Financial Services Inc. John's career started at E*TRADE SECURITIES LLC, then moved to MORGAN STANLEY, and is now at UBS Financial Services Inc. John is licensed in 53 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. John is a Series 66, Series 63, Series 24, Series 10, Series 9, SIE, Series 3, Series 55, and Series 7 licensed representative and provides financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
GA
07/01/2014 - 04/02/2020
MORGAN STANLEY (ATLANTA GA)
GA
09/09/2010 - 07/15/2014
E*TRADE SECURITIES LLC (ALPHARETTA GA)
BOTH
Issued 06/24/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/20/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2018
Series 24 - General Securities Principal Examination
BC
Issued 11/05/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/08/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2015
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/08/2010
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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