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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2021-01-06 |
| TX | RA | APPROVED | 2016-08-17 |
Branch Locations
12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States
12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-05-26 |
Branch Locations
12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States
Park City, UT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Carter Advsiory Services, | Dallas | TX | 05/2016 | Present |
| Raymond James Financial Services | Dallas | TX | 07/2016 | Present |
| Raymond James Financial Services Advisors Inc. | Dallas | TX | 08/2016 | Present |
(1) Carter Financial Management , 12222 Merit Dr Ste 1800, Dallas, TX, 75251, Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No; Start Date: 04/01/2016; Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0; Description of duties: This is simply how we present the name of the firm to the public and do business as Carter Financial Management. There are no responsibilities otherwise associated with this role. (2) Captra Capital LLC , 2236 Morning Star Drive, Park City, UT, 84060, Personal/Private Investment Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/01/2021 HPM: 2-10 HPM during trading hours: 2-10 Description of duties: My husband and I are managing this LLC for our family. (3) EKB GST non-exempt trust , 2236 Morning Star Drive, Park City, UT, 84060, Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 01/04/2020 HPM: 0-1 HPM during trading hours: 0-1 Description of duties: I am responsible for allocating resources for the entity in the equity, bond and real estate space. (4) GBK Ranches, LLC , 2236 Morning Star Drive, Park City, UT, 84060, Position/Title: LLC member Agriculture/Farming; Other Investment Related: No Start Date: 01/03/2020 HPM: 0-1 HPM during trading hours: 0-1 Description of duties: help in the management of the ranches. (5) Texas Women's Foundation (formerly Dallas Women's Foundation) , 8150 North Central Expressway | Suite 110, Dallas, TX, 75229, Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 07/01/2017 HPM: 0-1 HPM during trading hours: 0-1 Description of duties: We evaluate the finances of the TWF and make sure endowments and DAFs are invested according to the investment policy statement. (6) Women's Leadership Alliance , 2236 Morning Star Drive, Park City, UT, 84060, Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: Yes Start Date: 12/07/2023 HPM: 2-10 HPM during trading hours: 2-10 Description of duties: approving payments for outlays for the alliance as well as overseeing budget. (7) Park Meadows Country Club 2000 Meadows Drive Park City UT 84060; Position/Title: Volunteer; Investment Related: No; Start Date: 06/01/2021; HPM 2-10; HPM during trading hours: 0-1: Description of duties; review golf activities.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-08-03 |
| S65 | Uniform Investment Adviser Law Examination | 2014-01-08 |
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