Carter Joseph Ewing

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:

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

Current Employers

Employment History

• 08/2004 → 05/2021
  Student
  Overland Park, KS
• 05/2019 → Present
  Cetera Advisors Llc
  Denver, CO
• 10/2021 → Present
  Prosperity Advisors, Llc
  Overland Park, KS
• 03/2022 → 01/2023
  Comprehensive Retirement Solutions (Crs)
  Carmel, IN
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1) NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 10/2021 ; POSITION/TITLE/RELATIONSHIP: PLANNING TEAM ASSOCIATE ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES, ASSIST WITH PORTFOLIO PLANNING ACTIVITIES ; 2) NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: 10955 LOWELL AVE, SUITE 900, OVERLAND PARK, KS, 66210, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA;

Exams

• S66 Uniform Combined State Law Examination
  2020-06-12

Designations

• Certified Financial Planner