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Douglas Fosdick Carter

Schwab Wealth Advisory, Inc.

Omaha, NE

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Current Employers
Schwab Wealth Advisory, Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-01-02
NE RA APPROVED 2024-01-09
  • TX RA
    APPROVED_RES
    Since 2025-01-02
  • NE RA
    APPROVED
    Since 2024-01-09

Branch Locations

200 South 108 Ave, Omaha, NE 68154 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Moloney Securities Co., Inc. Manchester MO 04/2016 12/2016
Moloney Investment Advisory Llc Manchester MO 04/2016 12/2016
Moloney Securities Asset Management Llc Manchester MO 04/2016 12/2016
Unemployed Gig Harbor WA 01/2017 05/2017
Td Ameritrade, Inc Omaha NE 05/2017 06/2024
Charles Schwab & Co., Inc. Omaha NE 12/2022 Present
Schwab Wealth Advisory, Inc. Omaha NE 01/2024 Present
  • 04/2016 → 12/2016
    Moloney Securities Co., Inc.
    Manchester, MO
  • 04/2016 → 12/2016
    Moloney Investment Advisory Llc
    Manchester, MO
  • 04/2016 → 12/2016
    Moloney Securities Asset Management Llc
    Manchester, MO
  • 01/2017 → 05/2017
    Unemployed
    Gig Harbor, WA
  • 05/2017 → 06/2024
    Td Ameritrade, Inc
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab & Co., Inc.
    Omaha, NE
  • 01/2024 → Present
    Schwab Wealth Advisory, Inc.
    Omaha, NE
Previous Registrations
  • 2017-06-12 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 2017-06-12 → 2022-10-14
    Td Ameritrade, Inc.
    Omaha, NE
  • 2016-05-10 → 2016-12-07
    Moloney Investment Advisory Llc
    Gig Harbor, WA
    Manchester, MO
    Gig Harbor, WA
    Gig Harbor, WA
  • 2016-05-10 → 2016-12-07
    Moloney Securities Asset Management Llc
    Gig Harbor, WA
    Manchester, MO
    Gig Harbor, WA
    Gig Harbor, WA
  • 2013-04-23 → 2016-05-02
    Nations Financial Group, Inc.
    Raton, NM
    Cedar Rapids, IA
  • 2012-04-03 → 2013-03-15
    Moloney Securities Co., Inc.
    Gig Harbor, WA
    Denver, CO
  • 2010-02-25 → 2012-05-04
    Nations Financial Group, Inc.
    Cedar Rapids, IA
  • 2005-10-19 → 2009-08-05
    American Independent Securities Group, Llc
    Irvine, CA
    Eagle, ID
    Woodstock, IL
    Eagle, ID
    Caldwell, ID
  • 2003-07-31 → 2004-11-10
    Td Ameritrade, Inc.
    Boise, ID
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-18
S63 Uniform Securities Agent State Law Examination 1989-07-28
  • S66 Uniform Combined State Law Examination
    2003-07-18
  • S63 Uniform Securities Agent State Law Examination
    1989-07-28
Other Names
  • Doug Carter
  • Douglas Carter

View on SEC IAPD

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