Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Locke? Claim Your ProfileLocke Y Carter is a financial advisor with Wells Fargo Clearing Services, LLC. Locke has been in the financial services industry since February 12, 2006, and has been registered with Wells Fargo Advisors LLC since May 2009 and with Wells Fargo Clearing Services, LLC since November 2016. Locke has a wide range of experience in the financial services industry and is licensed to sell securities in Alabama, Arkansas, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Kentucky, Louisiana, Maryland, Massachusetts, Mississippi, New York, North Carolina, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Virginia and Washington. Locke specializes in providing financial advice to individuals, businesses, corporations, institutions, investment companies, charitable organizations and pension and profit sharing plans.
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.
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.
Investment consulting services to institutional clients
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.
1
2
TN
08/29/2019 - Present
Wells Fargo Clearing Services, LLC (KNOXVILLE TN)
TN
02/13/2006 - 02/17/2009
CITIGROUP GLOBAL MARKETS INC. (KNOXVILLE TN)
BC
Issued 03/10/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/02/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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