Stephen Claude Carter

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2026-08-31
TX	RA	APPROVED	2026-08-31

MI RA
APPROVED

Since 2026-08-31
TX RA
APPROVED

Since 2026-08-31

Branch Locations

396 Pettis Ave Se #200, Ada, MI 49301 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-08-06
MI	RA	APPROVED	2018-11-02

TX RA
APPROVED_RES

Since 2026-08-06
MI RA
APPROVED

Since 2018-11-02

Branch Locations

4095 Chicago Dr Sw Suite 120, Grandville, MI 49418 • 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

Organization	City	State	From	To
Royal Securities Company	Grandville	MI	04/2014	06/2017
Signator Investors Inc	Grand Rapids	MI	06/2017	11/2018
Royal Alliance Associates, Inc.	Grandville	MI	11/2018	08/2026
Lpl Financial Llc	Ada	MI	08/2026	Present

04/2014 → 06/2017

Royal Securities Company

Grandville, MI
06/2017 → 11/2018

Signator Investors Inc

Grand Rapids, MI
11/2018 → 08/2026

Royal Alliance Associates, Inc.

Grandville, MI
08/2026 → Present

Lpl Financial Llc

Ada, MI

Previous Registrations

2017-07-07 → 2018-11-02

Signator Investors, Inc.

Grand Rapids, MI

Grandville, MI
2014-05-05 → 2016-12-31

Royal Advisors, Llc

Grandville, MI
2013-10-15 → 2014-03-14

Regal Investment Advisors Llc

Grand Rapids, MI

Kentwood, MI

Other Businesses

1. 08/2026 - Insurance Broker - Non-Variable Insurance - Inv Related – 5 Hour(s)/Month – 5 Hour(s) During Trading – ADA, MI, 49301 – OBA Start Date: 11/01/2017 2. 08/2026 - COVERED VILLAGE MALL OWNERS ASSOCIATION - For-Profit Board Member - Not Inv Related – 1 Hour(s)/Month – 0 Hour(s) During Trading – Ada, MI, 49301 – OBA Start Date: 04/02/2024 3. 08/2026 - 1821Financial - DBA for LPL Business (entity for LPL business) - Inv Related – 160 Hour(s)/Month – 130 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 08/31/2026