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Clayton Shane Carter

Cetera Investment Advisers LLC

Lexington, KY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-03-09
  • KY RA
    APPROVED
    Since 2023-03-09

Branch Locations

201 E Main St Ste 520, Lexington, KY 40507 • 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
Foresters Financial Lexington KY 03/2011 06/2019
The Dairy Dip Hustonville KY 01/2019 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Lexington KY 03/2023 Present
  • 03/2011 → 06/2019
    Foresters Financial
    Lexington, KY
  • 01/2019 → Present
    The Dairy Dip
    Hustonville, KY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 03/2023 → Present
    Cetera Investment Advisers Llc
    Lexington, KY
Other Businesses

1. THE DAIRY DIP LLC. FOOD SERVICE. 100% OWNER 15 HRS WK

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-03-06
S63 Uniform Securities Agent State Law Examination 2011-05-06
  • S65 Uniform Investment Adviser Law Examination
    2023-03-06
  • S63 Uniform Securities Agent State Law Examination
    2011-05-06

View on SEC IAPD

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MICHAEL JAMES BROWNELL
JASON CHRISTOPHER GRESHAM
JAMES CARL GRAY
MARC ALLEN MOORE
AARON WILLIAM SEYFRIED
CARL LEE JINRIGHT
GEORGE DAVID PIERCE
JAMES MICHAEL THOMPSON

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · LEXINGTON, KY
WEALTH MANAGEMENT OF THE BLUEGRASS, LLC. · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY
CETERA INVESTMENT ADVISERS LLC · LEXINGTON, KY
INVEST INC. · LEXINGTON, KY
EAGLE STRATEGIES LLC · LEXINGTON, KY
LPL ENTERPRISE, LLC · LEXINGTON, KY
LPL FINANCIAL LLC · LEXINGTON, KY

More in Lexington, KY

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