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Investment Adviser Firm Summary

CARTER, TERRY & COMPANY, INC. (CRD# 16365 / SEC# 8-33797, 801-113129)
Alternate Names: ATTKISSON AND ASSOCIATES, INCORPORATED , ATTKISSON CARTER & COMPANY, INC. , ATTKISSON, CARTER & AKERS, INCORPORATED , ATTKISSON, CARTER & COMPANY, INC. , ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED , CARTER, TERRY & COMPANY, INC. , FJB SECURITIES, INC. , WICKHAM FINANCIAL & INSURANCE SERVICES

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/30/2018
Florida Approved 10/31/2017
Georgia Approved 07/07/2004
New Jersey Approved 08/16/2017
North Carolina Approved 03/31/2015
Oklahoma Approved 02/09/2018
Virginia Approved 02/02/2018

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/30/2018
Colorado 04/30/2018
Florida 04/30/2018
Georgia 04/30/2018
New Jersey 05/03/2018
North Carolina 04/30/2018
Oklahoma 04/30/2018
South Carolina 04/30/2018
Texas 04/30/2018
Virginia 04/30/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser