Lawrence Wells Carter

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Louisville, KY
• 11/2016 → 12/2023
  Wells Fargo Clearing Services, Llc
  Louisville, KY
• 12/2023 → Present
  Retirement Planning Solutions
  Louisville, KY
• 01/2024 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY

Previous Registrations

• 2008-01-01 → 2023-12-20
  Wells Fargo Clearing Services, Llc
  Louisville, KY
  Louisville, KY
• 2003-10-28 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Louisville, KY
  Louisville, KY
  St. Louis, MO

Other Businesses

(1.) Power of Attorney for Brother; Investment-Related; 324 E Main Unit 523, Louisville, KY 40202; Other; Agent for brother; Start Date:11/3/2014. 0.5 hours devoted monthly; 0.5 hours devoted monthly during trading hours; Buy and sell investments for brother. (2.) Wentworth Financial Partners/Binah Capital Group; Investment-Related; 80 State Street, Albany, New York 12207; LLC; Doing Business at Registered Location; Insurance Agent; Fixed/Traditional Insurance; Start Date: 12/2023; 2 hours devoted monthly; 1 hour devoted monthly during trading hours; Provide insurance advice based on the needs of clients. (3.) PKSF; Investment-Related; 80 State Street, Albany, NY 12207; Broker Dealer; Fixed/Traditional Insurance agent; Start Date: 12/2023; 15 hours devoted monthly; 15 hours devoted monthly during trading hours; Provide insurance advice based on the needs of clients. (4.) Advocate Health; Non-Investment Related; 2025 Windsor Dr., Oak Brook, Illinois 60523; Doing Business at Registered Location; Insurance Agency; Insurance Agent; Start Date: 2/1/2024; 1 hour devoted monthly; 1 hour devoted monthly during trading hours; Licensed Health agent for medicare supplement and selling medicare supplement insurance as value add for clients. (5.) Fleur De Lis Council; Non-Investment Related; 324 E Main St, Unit 523, Louisville, KY 40202; Condo Association Board; Advisor to the Board; Start Date: 6/2024; 2 hours devoted monthly; 0 hours devoted during trading hours; Advisor to the Board for improvements and maintenance of Condo Association. (6.) PKS Investments; Investment-Related; 80 State Street, Albany, NY 12207; Broker-Dealer; Investment Advisor Representative; Start Date: 01/2024; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Commission based products. (7.) Notary Public; Non-Investment Related; Doing Business at Registered Location; Notary; 1 hour devoted monthly; 1 hour devoted monthly during trading hours; Notarize documents for free to all personal clients but may charge if not a client. (8.) Contingent POA for son's uncle; Investment-Related; 324 E Main Street Louisville, KY 40202; Backup Executor; Start Date: 1/2025; 0 hours devoted monthly; 0 hours devoted during trading hours; Backup POA in case something happens to son. (9.) Contingent Beneficiary for son's uncle's estate; Investment-Related; 324 E Main Street Louisville, KY 40202; Contingent Beneficiary; Start Date: 1/2025; 0 hours devoted monthly; 0 hours devoted during trading hours; Backup Beneficiary in case something happens to son. (10.) Contingent Executor for son's uncle's estate; Investment Related; 324 E Main Street Louisville, KY 40202; Contingent Executor; Start Date: 1/2025; 0 hours devoted monthly; 0 hours devoted during trading hours; Backup Executor in case something happens to son. (11.) POA for son - Arthur Carter; Investment Related; 324 E Main Street Louisville, KY 40202; POA for son; Start Date 1/2025; 0 hours devoted monthly; 0 hours devoted during trading hours; POA for Son. (12.) Financial Independence Group; Investment Related; 19520 Catawba Avenue #200 Cornelius, NC 28031; LLC; Licensed Agent; Start Date: 1/1/2026; 5 hours devoted monthly; 5 hours decovoted monthly during trading hours; Licensed agent for Insurance products.

Exams

• S65 Uniform Investment Adviser Law Examination
  2017-02-24
• S63 Uniform Securities Agent State Law Examination
  1999-07-23

Other Names

• Larry Carter