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Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
CD

Carter D Sherman

Texas·CRD #7268927
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
6 yrs
States
1
Exams
3
Since
2020
Est. fee
AUM / Commission / Flat Fee
View profile
CD

Carter D Weeks

North Carolina·CRD #7423573
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
5 yrs
States
2
Exams
3
Since
2021
Est. fee
AUM / Commission / Flat Fee
View profile
CE

Carter Egan Dizes

Connecticut·CRD #7326790
IA Rep

Investment Adviser Rep at RMC INVESTMENT ADVISORS

Experience
5 yrs
States
1
Exams
1
Since
2021
Est. fee
AUM
Minimum
$500k
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CF

Carter Fitz Randolph Phd

Kentucky·CRD #4348344
IA Rep

Investment Adviser Rep at RANDOLPH CO INC

Experience
16 yrs
States
2
Exams
1
Since
2010
Est. fee
AUM
Minimum
$1.0M
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CG

Carter Gridley Rowles

Texas·CRD #1182679
Dual-registered

Dual-registered at EQUITABLE ADVISORS, LLC

Experience
42 yrs
States
1
Exams
5
Since
1984
Est. fee
AUM / Hourly / Flat Fee
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CH

Carter Harrison Freeman

Minnesota·CRD #2461097
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
32 yrs
States
2
Exams
4
Since
1994
Est. fee
AUM / Flat Fee
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CH

Carter Hodgson

North Carolina·CRD #7790470
IA Rep

Investment Adviser Rep at CROWN WEALTH GROUP LLC

Experience
1 yrs
States
1
Exams
2
Since
2025
Est. fee
AUM / Flat Fee / Other
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CJ

Carter Jay Bowman

Florida·CRD #7962855
IA Rep

Investment Adviser Rep at ELEVATE FINANCIAL PLANNING AND WEALTH MANAGEMENT

Experience
2 yrs
States
2
Exams
2
Since
2024
Est. fee
AUM / Flat Fee
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CJ

Carter Jeffrey Hassenplug

Pennsylvania·CRD #8194864
Dual-registered

Dual-registered at EQUITABLE ADVISORS, LLC

Experience
1 yrs
States
1
Exams
3
Since
2025
Est. fee
AUM / Hourly / Flat Fee
View profile
CJ

Carter John Harris

Texas·CRD #1398922
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
41 yrs
States
1
Exams
6
Since
1985
Est. fee
AUM / Commission / Flat Fee
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CJ

Carter Jon Nelson

Georgia·CRD #7380855
Dual-registered

Dual-registered at WILLIAM BLAIR & COMPANY L.L.C.

Experience
3 yrs
States
1
Exams
3
Since
2023
Est. fee
AUM / Flat Fee
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CJ

Carter Joseph Bidwick

Maryland·CRD #6852047
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
8 yrs
States
2
Exams
3
Since
2018
Est. fee
AUM / Flat Fee
View profile
CK

Carter Kelly Assink

Michigan·CRD #8174397
Dual-registered

Dual-registered at EQUITABLE ADVISORS, LLC

States
1
Exams
3
Since
2026
Est. fee
AUM / Hourly / Flat Fee
View profile
CK

Carter Kenneth Sales

Michigan·CRD #8170884
IA Rep

Investment Adviser Rep at POINTE CAPITAL MANAGEMENT LLC

Experience
1 yrs
States
1
Exams
2
Since
2025
Est. fee
AUM / Flat Fee
Minimum
$1.0M
View profile
CL

Carter Lee Baumert

Colorado·CRD #1766987
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
39 yrs
States
3
Exams
7
Since
1987
Est. fee
AUM / Commission / Flat Fee
View profile
CL

Carter Lindsay Ellis

North Carolina·CRD #6566004
IA Rep

Investment Adviser Rep at GUARDIAN WEALTH ADVISORS, LLC

Experience
11 yrs
States
1
Exams
1
Since
2015
Est. fee
AUM / Hourly / Flat Fee
View profile
CL

Carter Louis Randolph

Ohio·CRD #4348355
IA Rep

Investment Adviser Rep at RANDOLPH CO INC

Experience
9 yrs
States
1
Exams
1
Since
2017
Est. fee
AUM
Minimum
$1.0M
View profile
CM

Carter Mackenzie Moss

District Of Columbia·CRD #5299990
IA Rep

Investment Adviser Rep at MISSIONSQUARE WEALTH MANAGEMENT

Experience
19 yrs
States
4
Exams
4
Since
2007
Fee
AUM
View profile
CM

Carter Matthew Faltys

Nebraska·CRD #7660031
IA Rep

Investment Adviser Rep at MCMILL CPA AND ADVISORS

Experience
3 yrs
States
1
Exams
1
Since
2023
Est. fee
AUM / Hourly / Flat Fee
View profile
CM

Carter M Klaas

Wisconsin·CRD #7253814
Dual-registered

Dual-registered at ROSEMEYER MANAGEMENT GROUP

Experience
6 yrs
States
1
Exams
3
Since
2020
Est. fee
AUM / Flat Fee
View profile
CM

Carter Moffitt

Utah·CRD #7672606
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
3 yrs
States
1
Exams
4
Since
2023
Est. fee
AUM / Commission / Flat Fee
View profile
CN

Carter Neal Wendt

Texas·CRD #7001152
Dual-registered

Dual-registered at DIMENSIONAL FUND ADVISORS LP

Experience
8 yrs
States
1
Exams
3
Since
2018
Est. fee
AUM / Performance-based
Minimum
$250k
View profile
CO

Carter Otey

North Carolina·CRD #8242862
IA Rep

Investment Adviser Rep at MODERA WEALTH MANAGEMENT, LLC

States
1
Exams
2
Since
2026
Fee
AUM / Hourly / Flat Fee
View profile
CR

Carter Raymond Chesney

Maryland·CRD #7583690
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

States
2
Exams
3
Since
2026
Est. fee
AUM / Commission / Flat Fee
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

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