Raymond Andrew Carter

Current Employers

Employment History

• 01/1991 → Present
  Cadaret Grant
  Syracuse, NY
• 08/1996 → 07/2025
  Carter Financial Management, Llc
  Orchard Park, NY
• 05/2023 → Present
  Wny Asset Management, Llc
  Williamsville, NY
• 07/2025 → Present
  Lpl Financial Llc
  Orchard Park, NY

Previous Registrations

• 2021-05-04 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Orchard Park, NY
  Orchard Park, NY

Other Businesses

1- 07/2025 - Carter Financial Mgmt, LLC - Non-Variable Insurance - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/1996 - 10 hours per month/ 0 hours during trading 2- 07/2025 - Clearplan Financial, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/01/2015 - 160 hours per month/ during trading 3- 07/2025 - WNY Asset Management, RIA - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 04/12/2023 - 160 hours per month/ 80 hours during trading - I provide investment advisory services through WNY Asset Management, an independent investment advisor firm. I started this business activity in 4/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-09-05

Designations