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Steven Frederick Carter

Carter Financial, LLC

La Jolla, CA

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Current Employers
Carter Financial, Llc

4225 Executive Square Suite 1030, La Jolla, CA 92037 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-09-11
TX RA APPROVED 2019-09-10
  • CA RA
    APPROVED
    Since 2019-09-11
  • TX RA
    APPROVED
    Since 2019-09-10

Branch Locations

4225 Executive Square Suite 1030, La Jolla, CA 92037 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.) La Jolla CA 10/1994 09/2019
Carter Financial Dba Of Lpl Financial, Llc La Jolla CA 07/1996 09/2019
Carter Financial, Llc La Jolla CA 09/2019 Present
  • 10/1994 → 09/2019
    Lpl Financial Llc (F/K/A Linsco/Private Ledger Corp.)
    La Jolla, CA
  • 07/1996 → 09/2019
    Carter Financial Dba Of Lpl Financial, Llc
    La Jolla, CA
  • 09/2019 → Present
    Carter Financial, Llc
    La Jolla, CA
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-06-27
  • S63 Uniform Securities Agent State Law Examination
    1986-06-27
Designations

View on SEC IAPD

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