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Account
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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-17 |
| NY | RA | APPROVED | 2025-07-11 |
Branch Locations
225 Liberty St Pbig - New York, New York, NY 10281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Ansonia | CT | 01/2023 | 07/2024 |
| Svenska Handelsbanken | New York | NY | 11/2022 | 01/2023 |
| Td Bank | New Canaan | CT | 08/2018 | 12/2019 |
| Vital Security | Wilmington | DE | 06/2015 | 08/2018 |
| Unemployed | Pleasantville | NY | 02/2022 | 11/2022 |
| Ares Security | Wilmington | DE | 01/2020 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 06/2025 | Present |
| Pennsylvania State University | University Park | PA | 01/2015 | 06/2018 |
| Unemployed | Pleasantville | NY | 08/2024 | 05/2025 |
I*2624272, Entity Type: Entity For Profit, Name of OBA: Carter Advisory Management, Address: Pleasantville, New York, 10570, Investment Related: N, Position, Title, Association: Owner, Employee State Date: 04/22/2024, No Hours: 0 Yearly, No Hours during Trading: 0 Yearly, Duties: The business was never active, so no responsibilities will be taking place. The company will remain entirely dormant. This was an LLC created to potentially assist family members with their IRA accounts. No business was ever created, no income or clients will exist. It is a dormant LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-08-10 |
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