Joe Carter

Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 09/2021
  Bank Of America, N.A.
  Scottsdale, AZ
• 08/2016 → 09/2021
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
• 09/2021 → Present
  J.P. Morgan Securities Llc
  Cave Creek, AZ
• 09/2021 → Present
  Jp Morgan Chase Bank, N.A.
  Cave Creek, AZ
• 05/2019 → 08/2021
  Pamper Llc
  Phoenix, AZ
• 05/2024 → Present
  Sweet Wheels Llc
  Pheonix, AZ

Previous Registrations

• 2018-08-07 → 2021-09-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
  Phoenix, AZ
  Scottsdale, AZ
  Phoenix, AZ
  Scottsdale, AZ
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

Entity Name: Sweet Wheels LLC Investment related: No Address: Phoenix, AZ 85024 Nature of the other business: Restaurant Position/Title/Relationship: Owner/Partner Start Date: 05/24/2024 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Food/Restaurant-Ice Cream. No connection to JPMC/conflict of interest. I will solely be an owner, my wife be running the business primarily.

Exams

• S66 Uniform Combined State Law Examination
  2018-08-03

Other Names

• Joe R Carter
• Joseph Carter
• Joseph Ryan Carter