Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ken? Claim Your ProfileKen Anthony Carter is a financial advisor at RBC Capital Markets, LLC. Ken has been in the securities industry since 1985. Ken's career includes prior experience at Piper Jaffray Inc. and National Securities Corporation. Ken is registered to offer investment advisory services in Texas and Washington, and brokerage services in 28 states, including Alaska, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Hawaii, Idaho, Illinois, Maryland, Michigan, Minnesota, Missouri, Montana, Nevada, New York, North Carolina, North Dakota, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia, Washington, and Wisconsin. Ken holds the Series 31, Series 6, Series 7 and Series 63 securities licenses and the Series 65 investment advisor license.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WA
04/06/1998 - Present
RBC Capital Markets, LLC (SEATTLE WA)
MN
06/12/1987 - 03/17/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NA
06/05/1986 - 06/24/1987
NATIONAL SECURITIES CORPORATION
NA
04/03/1985 - 06/04/1986
FIRST INVESTORS CORPORATION
IA
Issued 08/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 04/02/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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