Kurt Charles Carter

Current Employers

Employment History

• 02/2013 → 02/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK
• 04/2013 → 02/2020
  Bank Of America, N.A.
  Oklahoma City, OK
• 02/2020 → Present
  Raymond James & Associates, Inc
  Oklahoma City, OK

Previous Registrations

• 2013-02-15 → 2020-02-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK
  Oklahoma City, OK
• 2009-01-02 → 2013-02-19
  Raymond James Financial Services Advisors, Inc
  Oklahoma City, OK
• 2003-02-13 → 2009-01-02
  Raymond James Financial Services, Inc.
  Oklahoma City, OK
  Stillwater, OK
  Oklahoma City, OK
  Oklahoma City, OK

Other Businesses

(1)Name of Business: Oklahoma State University Alumni Association Address: OSUAA, Stillwater, OK, 74078, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member, Director, Chairman of the Board, Subcommittee Member, Committee Member Investment Related: Yes Start Date: 05/03/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: The executive board of the OSUAA has the governance and fiduciary oversite for the organization. This is akin to a trustee role for other non profit organizations.\n\nI am the Chair, then in two years, I will be Past Chair.\n\nAdditionally, I serve on several standing committees, to include finance.\n\nIn these roles I am involved on a regular basis in financial decisions, and I certainly have fiduciary exposure as well.\n\n

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-20
• S63 Uniform Securities Agent State Law Examination
  1997-09-18