Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Linwood Carter is a financial advisor registered with RBC Capital Markets, LLC. Thomas Carter has over 30 years of experience in the financial services industry and is licensed to offer securities and investment advisory services in numerous states. Thomas Carter is a Series 65 and 63 licensed investment advisor representative. He is also a Series 7, 9, 10, 24 and 31 licensed securities representative. Thomas Carter has held previous positions with SunTrust Investment Services, Inc., SunTrust Capital Markets, Inc., Morgan Stanley DW Inc., BT Alex. Brown Incorporated and Alex. Brown & Sons Incorporated. Thomas Carter specializes in providing financial planning, pension consulting, and portfolio 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
MD
02/19/2010 - Present
RBC Capital Markets, LLC (ANNAPOLIS MD)
MD
06/27/2005 - 11/30/2007
SUNTRUST INVESTMENT SERVICES, INC. (ANNAPOLIS MD)
GA
05/23/2003 - 06/30/2005
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
NY
08/22/1997 - 05/28/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
MD
09/01/1997 - 02/05/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
12/10/1992 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
IA
Issued 09/27/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/19/2006
Series 24 - General Securities Principal Examination
BC
Issued 12/22/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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