Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Lyman Carter is a financial advisor with over 30 years of experience in the financial services industry. Ronald Carter is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2016. Prior to that, Ronald Carter was with Prudential Securities Incorporated and UBS Paine Webber Inc. Ronald Carter holds several professional designations, including the Certified Financial Planner designation. He is also licensed to sell securities in multiple states. Ronald Carter specializes in providing financial planning and investment management services to individuals, businesses, and institutions.
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
IL
03/02/2021 - Present
Wells Fargo Clearing Services, LLC (NAPERVILLE IL)
NY
05/15/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
11/23/1993 - 05/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NJ
02/24/1992 - 12/13/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
02/24/1992 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 02/04/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/17/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1994
Series 7 - General Securities Representative Examination
BC
Issued 02/21/1992
Series 6 - Investment Company Products/Variable Contracts 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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