Carter J Mathiason

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-01-31
NC	RA	APPROVED	2025-01-24

TX RA
APPROVED

Since 2025-01-31
NC RA
APPROVED

Since 2025-01-24

Branch Locations

6805 Carnegie Boulevard Suite 400, Charlotte, NC 28211 • 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

Organization	City	State	From	To
Florida Financial Advisors Dba Tristate Financial Advisors	Charlotte	NC	07/2024	12/2024
Brawley Middle School	Mooreville	NC	07/2014	06/2016
Lake Norman High School	Mooresville	NC	06/2016	06/2020
Appalachian State University	Boone	NC	08/2020	05/2024
Red Onion	Boone	NC	05/2022	05/2023
Morgan Stanley	Charlotte	NC	12/2024	Present

07/2024 → 12/2024

Florida Financial Advisors Dba Tristate Financial Advisors

Charlotte, NC
07/2014 → 06/2016

Brawley Middle School

Mooreville, NC
06/2016 → 06/2020

Lake Norman High School

Mooresville, NC
08/2020 → 05/2024

Appalachian State University

Boone, NC
05/2022 → 05/2023

Red Onion

Boone, NC
12/2024 → Present

Morgan Stanley

Charlotte, NC

Previous Registrations

2024-07-10 → 2024-12-02

Florida Financial Advisors, Llc

Charlotte, NC

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2024-11-01
S65	Uniform Investment Adviser Law Examination	2024-06-20

S63 Uniform Securities Agent State Law Examination

2024-11-01
S65 Uniform Investment Adviser Law Examination

2024-06-20

Other Names

Carter Mathiason
Carter James Mathiason

View on SEC IAPD

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