Stephen Allen Carter

Current Employers

Employment History

• 09/2005 → 03/2020
  Ameriprise Financial Services, Inc.
  Round Rock, TX
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Round Rock, TX

Other Businesses

Real Estate Ownership; Commercial; 2851 Joe DiMaggio Boulevard Building 8 Suite 16, , Round Rock, TX, 78665; Not Investment-Related; 05/15/2015. Business Ownership; 421 Group LLC; Managing Member of the entity. This entity is used to manage practice expenses.; Business entity established to manage practice expenses and manage advisor practice. Entity has been in use / approved since 2010.; 2851 Joe DiMaggio Blvd. Bldg. 8 Suite 16, , Round Rock, TX, 78665; Not Investment-Related; 07/29/2010; 1 to 9 hours per month; 0 during trading hours. Fiduciary Activities; Trustee, I have been asked to serve as the backup "Trust Protector" for this Trust. I am not a current Trustee of the Trust. I would only serve as the backup "Trust Protector" when / if needed. The Trust was created with an effective date of 9.2.2021. / Trustee. Outside Employment; 421 Group LLC; Managing Member - This is my disclosed business entity that is used to manage practice expenses only.; ; 2851 Joe DiMaggio Blvd. Bldg. 8, Ste. 16, , Round Rock, TX, 78665; Not Investment-Related; 11/03/2011; 1 to 9 hours per month; 0 during trading hours. Other Business Activities; Homes for Our Troops - Foundation for Financial Planning (FPA's Pro Bono Program); I am providing pro bono financial planning to disabled military veterans through Homes for Our Troops, a FPA-sponsored pro bono financial planning program. This activity involves no use of Ameriprise-branded materials and no sale of Ameriprise products.; 1401 Peachtree Street, NE, Suite 500, , Atlanta, GA, 30309; Investment-Related; 12/01/2015; 1 to 9 hours per month; 0 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2004-01-12