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Paul Carter

Cetera Investment Advisers LLC

Saint Johns, FL

CRD 6449486

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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:

Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-07-11
SC RA APPROVED 2025-02-26
TX RA APPROVED 2022-11-01
  • FL RA
    APPROVED
    Since 2025-07-11
  • SC RA
    APPROVED
    Since 2025-02-26
  • TX RA
    APPROVED
    Since 2022-11-01

Branch Locations

Saint Johns, FL • 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
Bbt Investments Charlotte NC 06/2016 10/2018
Richard Worrell Charlotte NC 11/2018 01/2019
Northwestern Mutual Investment Services Llc Charlotte NC 11/2018 12/2021
Richard Worrell, Llc Charlotte NC 01/2019 12/2021
First Allied Securites Inc. San Diego CA 12/2021 09/2022
Cetera Advisors Llc San Diego CA 09/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2021 Present
  • 06/2016 → 10/2018
    Bbt Investments
    Charlotte, NC
  • 11/2018 → 01/2019
    Richard Worrell
    Charlotte, NC
  • 11/2018 → 12/2021
    Northwestern Mutual Investment Services Llc
    Charlotte, NC
  • 01/2019 → 12/2021
    Richard Worrell, Llc
    Charlotte, NC
  • 12/2021 → 09/2022
    First Allied Securites Inc.
    San Diego, CA
  • 09/2022 → Present
    Cetera Advisors Llc
    San Diego, CA
  • 12/2021 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-06-23
  • S63 Uniform Securities Agent State Law Examination
    2016-06-23
Designations
  • Certified Financial Planner
Other Names
  • Paul Carter
  • Paul Carter
  • Paul T Carter

View on SEC IAPD

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