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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2021-01-06
TX RA APPROVED 2016-08-17
  • UT RA
    APPROVED
    Since 2021-01-06
  • TX RA
    APPROVED
    Since 2016-08-17

Branch Locations

12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States

Carter Advisory Services, Inc

12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-05-26
  • TX RA
    APPROVED
    Since 2016-05-26

Branch Locations

12222 Merit Drive Suite 1800, Dallas, TX 75251 • United States

Park City, UT • 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
OrganizationCityStateFromTo
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
Previous Registrations
  • 2014-01-08 → 2016-04-26
    Dougherty Wealth Management
    Dallas, TX
Other Businesses

(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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-08-03
S65 Uniform Investment Adviser Law Examination 2014-01-08
  • S63 Uniform Securities Agent State Law Examination
    2016-08-03
  • S65 Uniform Investment Adviser Law Examination
    2014-01-08
Designations
Other Names
  • Ellenore Anne Knight
  • Ellenore Anne Knight

View on SEC IAPD

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