Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Allen Carter is a registered investment advisor representative and securities principal with Ameriprise Financial Services, LLC. Stephen has been in the securities industry since January 2004 and has experience providing financial advice to individuals and families, as well as businesses and trusts. Stephen is registered with the Securities and Exchange Commission (SEC) and holds several industry certifications, including the Series 66, 7, 10, 9, and 24 licenses. Stephen is also a member of the Financial Planning Association.
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.
Asset allocation services
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.
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TX
01/13/2004 - Present
Ameriprise Financial Services, LLC (Round Rock TX)
MN
01/08/2004 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/12/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/13/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/07/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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