Unclaimed
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 a financial advisor with over 20 years of experience in the industry. Philip currently works at Morgan Stanley, a large brokerage firm, and is registered in several states including New Jersey and New York. Prior to joining Morgan Stanley, Philip worked at several other firms including LBMZ Securities, Donaldson, Lufkin & Jenrette Securities Corporation, and Smith Barney Inc. Philip has a strong background in investments and financial planning and is committed to providing clients with personalized advice and guidance.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/16/2021 - Present
Morgan Stanley (New York NY)
IL
07/20/2006 - 06/15/2016
LBMZ SECURITIES, INC. (CHICAGO IL)
NJ
04/04/2000 - 10/30/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
01/06/2000 - 07/21/2000
FORTIS SECURITIES INC. (NEW YORK NY)
NY
02/20/1998 - 05/20/1998
JULIUS BAER SECURITIES INC. (NEW YORK NY)
NY
08/24/1994 - 12/18/1997
SMITH BARNEY INC. (NEW YORK NY)
PA
12/11/1991 - 12/31/1992
CIGNA SECURITIES, INC. (RADNOR PA)
NY
10/25/1989 - 12/22/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 06/30/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/22/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1989
Series 3 - National Commodity Futures Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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