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225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-04-01 |
Branch Locations
970 Windham Ct. Suite 1A, Youngstown, OH 44512 • United States
225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Youngstown | OH | 09/2005 | 10/2023 |
| Vantage Financial Partners | Youngstown | OH | 10/2023 | 04/2026 |
| Northrock Partners, Llc | Youngstown | OH | 04/2026 | Present |
Business Ownership; Carter Management Group, LLC; Single Member; is limited exclusively to personal real estate holdings. This activity is purely for the management and oversight of my own investment properties and has no connection whatsoever to my clients or any client-related business. I do not solicit, refer, or conduct any securities, investment, or financial services business with clients (or prospective clients) through this real estate activity.; OH 44452; Not Investment Related; February 2013; 1 to 9 hours per month; 0 during trading hours. AM Investor Group (LLC); 13230 Watertown Plank Rd Elm Grove, WI 53122; Investment related; Since October 2025; Investor; Investor in AI firm developing agentic based services;0 hours/month devoted to other business; 0 hours during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-04 |
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