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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Carter is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC, a firm with over 2,000 employees. Philip is a registered investment advisor representative in Washington and Texas. Philip has been working in the financial industry since 1990. Philip has held past roles with Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Philip holds the Series 63, 65, 7 and 24 licenses as well as the SIE exam. Philip has been a registered investment advisor representative with Wells Fargo Advisors Financial Network, LLC since 2009. Philip also has a separate investment-related business called Cascade Asset Management LLC.
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.
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2
WA
05/05/2006 - Present
Wells Fargo Advisors Financial Network, LLC (SEATTLE WA)
NY
08/08/1994 - 05/08/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/24/1990 - 08/12/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/09/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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