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Clay Marshall Carter

Blue Waters Advisory Group, LLC

Austin, TX

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Current Employers
Blue Waters Advisory Group, Llc

1301 S. Capital Of Texas Hwy Suite B-125, Austin, TX 78746 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-01-15
OH RA APPROVED 2020-05-08
  • TX RA
    APPROVED
    Since 2021-01-15
  • OH RA
    APPROVED
    Since 2020-05-08

Branch Locations

1301 S. Capital Of Texas Hwy Suite B-125, Austin, TX 78746 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Blue Waters Advisory Group, Llc Austin TX 03/2012 Present
Previous Registrations
Other Businesses

I AM APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING VIA THIS DBA NON-INVESTEMENT RELATED PRODUCTS; LIFE, HEALTH DISABILITY, AND NON-REGISTERED GROUP ANNUITIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-15
S63 Uniform Securities Agent State Law Examination 1999-03-04
  • S66 Uniform Combined State Law Examination
    2000-11-15
  • S63 Uniform Securities Agent State Law Examination
    1999-03-04
Other Names
  • Clay Carter

View on SEC IAPD

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