David Allen Carter

Current Employers

Employment History

• 04/2022 → 11/2025
  Cetera Wealth Services, Llc
  El Segundo, CA
• 04/2022 → 07/2025
  Carter Capital
  Scottsdale, AZ
• 06/2023 → 11/2025
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 11/2025 → Present
  Raymond James Financial Services Inc.
  Surprise, AZ
• 11/2025 → Present
  Raymond James Financial Services Advisors Inc.
  Surprise, AZ
• 01/2007 → 04/2022
  First Financial Equity Corporation
  Denver, CO

Previous Registrations

• 2023-06-29 → 2025-11-18
  Cetera Investment Advisers Llc
  Scottsdale, AZ
  Surprise, AZ
  Scottsdale, AZ
  Surprise, AZ
  Surprise, AZ
• 2022-04-21 → 2023-06-29
  Cetera Wealth Services, Llc
  El Segundo, CA
  Scottsdale, AZ
  Surprise, AZ
  Surprise, AZ
  Surprise, AZ
• 2007-01-31 → 2022-03-02
  Ffec Wealth Partners Llc
  Greenwood Village, CO
  Oronogo, MO
  Glendale, AZ
  Scottsdale, AZ
  Scottsdale, AZ
• 2005-11-03 → 2007-02-12
  Osaic Services, Inc.
  Phoenix, AZ
  Littleton, CO
• 2003-06-03 → 2005-08-29
  Wells Fargo Investments, Llc
  Brighton, CO
• 1999-11-24 → 2003-06-03
  Morgan Stanley Dw Inc.
  Denver, CO

Other Businesses

(1)Name of Business: Carter Motorsports, LLC Address: 1639 Lawernce 2140, Surcoxie , MO, 64862, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/01/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Define short-, mid-, and long-term objectives (wins, championships, sponsorships, revenue targets, community presence).\nBudget planning, cost control, profit/loss monitoring, capex decisions (purchase of cars, trailers, equipment) (2)Name of Business: Carter Wealth Management Address: 13128 W Foxfire Dr Ste 110, Surprise, AZ, 85378-7129, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 11/17/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner operator

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-03-16
• S65 Uniform Investment Adviser Law Examination
  1999-03-16