David Charles Carratt

Current Employers

Employment History

• 12/2014 → 12/2016
  Metlife Securities Inc
  Bellevue, WA
• 12/2016 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 09/2024
  Securities America, Inc.
  La Vista, NE
• 11/2020 → 09/2024
  Securities America Advisors, Inc.
  La Vista, NE
• 10/2024 → Present
  Private Advisor Group, Llc
  Morristown, NJ
• 10/2024 → Present
  Lpl Financial Llc
  Mill Creek, WA

Previous Registrations

• 2020-11-06 → 2024-05-16
  Securities America Advisors, Inc.
  Seattle, WA
  La Vista, NE
• 2017-01-11 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Seattle, WA
• 2015-02-23 → 2016-12-31
  Msi Financial Services, Inc.
  Lake Oswego, OR
  Bellevue, WA
• 1998-10-12 → 2014-12-31
  Signator Financial Services, Inc.
  Boston, MA
  Bellevue, WA
  Bellevue, WA
  Bellevue, WA
  Spring Hill, FL
• 2013-11-22 → 2014-11-12
  Signator Investors, Inc.
  Boston, MA

Other Businesses

1) 10/2024 - Private Advisor Group / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2) 10/09/2024 - Private Advisor Group - Registered Investment Advisor - Admin - Investment Related - At Reported Business Location(s) - Start Date 10/07/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide administrative support to Private Advisor Group, an independent investment advisor firm. I started this business activity 10/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-06-30
• S65 Uniform Investment Adviser Law Examination
  1998-06-30

Designations

Other Names

• David C Carratt
• Dave C Carratt