Derek John Carter

Current Employers

Employment History

• 10/2017 → 05/2019
  Signator Investors, Inc.
  Rochester, MN
• 04/2015 → 09/2017
  Mayo Employee Federal Credit Union
  Rochester, MN
• 11/2018 → 05/2019
  Royal Alliance Associates, Inc.
  Rochester, MN
• 05/2019 → 12/2020
  Royal Alliance
  Rochester, MN
• 01/2021 → Present
  Royal Alliance Associates, Inc.
  Rochester, MN

Other Businesses

1. ADVANCED FINANCIAL CONSULTANTS (FIXED) POSITION: Insurance Agent NATURE: Sole Proprietorship - Life and Health Insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 09/01/2017 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: Selling fixed life insurance and health insurance and servicing work for existing clients. 2. ADVANCED FINANCIAL CONSULTANTS (SECURITIES) POSITION: Investment Advisor NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 01/08/2021 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: Offering securities products, recommendations. 3. DEREK CARTER POSITION: Seller NATURE: Sole proprietorship. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 1474 Sunset Ave SE, Rochester MN 55904, United States DESCRIPTION: I sell comic books on Ebay. 4. CARTER INSURANCE INC POSITION: Owner NATURE: S-Corp for tax purposes. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2022 ADDRESS: 2770 Commerce Drive NW, Rochester MN 55901, United States DESCRIPTION: This entity is used as a pass through of commissions and to organize business operation expenses/payroll and taxes for my financial securities activities.

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-08-10
• S63 Uniform Securities Agent State Law Examination
  2019-09-06