Elizabeth Anne Carter

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2011 → 09/2016
  Wall Street Financial Group
  Fairport, NY
• 09/2016 → 06/2024
  Securities America, Inc.
  Fairport, NY
• 09/2016 → 06/2024
  Securities America Advisors, Inc.
  La Vista, NE
• 06/2024 → Present
  Osaic Wealth, Inc.
  Victor, NY
• 06/2024 → Present
  Osaic Wealth, Inc.
  Victor, NY

Previous Registrations

• 2016-09-23 → 2024-06-14
  Securities America Advisors, Inc.
  Fairport, NY
  La Vista, NE
• 2013-09-12 → 2016-09-23
  Wall Street Financial Group, Inc.
  Victor, NY
  Fairport, NY

Other Businesses

1. NEW YORK INSURANCE LICENSE POSITION: Senior Supervision Analyst NATURE: I have my New York State insurance license for life, variable life/variable annuities, accident and health, and travel accident. I do not sell insurance. I only hold the license to review variable transactions as part of my employment as an FLS delegate at an Osaic OSJ branch. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2017 ADDRESS: 1173 Pittsford Victor Road, Suite 220, Pittsford NY 14534, United States DESCRIPTION: I have my New York State insurance license for life, variable life/variable annuities, accident and health, and travel accident. I do not sell insurance. I only hold the license to review variable transactions as part of my employment as an FLS delegate at an Osaic OSJ branch. 2. EVOLUTION FINANCIAL ADVISORS POSITION: Senior Supervision Analyst NATURE: Evolution Financial Advisors is the name of the OSJ branch for which I am a FLS delegate. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2016 ADDRESS: 1173 Pittsford Victor Road, Suite 220, Pittsford NY 14534, United States DESCRIPTION: FLS delegate at OSJ branch

Exams

• S66 Uniform Combined State Law Examination
  2013-09-09

Other Names

• Elizabeth Anne Ewing