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Detailed Report
JOHN RANDALL CARTER
CRD#: 2421945
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Investment Adviser
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Previous Broker
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCRD#: 20804 20101 SW BIRCH ST
STE 130-D
NEWPORT BEACH, CA 92660
Registration History
1995200020052010201520202025IAUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2024 - Present (1 year)BMUTUAL SERVICE CORPORATION (CRD# 4806)2004 - 2009 (5 years)BNEW ENGLAND SECURITIES (CRD# 615)2003 - 2004 (<1 year)BNEW ENGLAND SECURITIES (CRD# 615)1993 - 2003 (9 years)IAROYAL FINANCIAL (CRD# 111339)2007 - 2024 (17 years)
License(s)

State Registrations

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California 2/15/2024
Current Registration(s)
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UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804)
20101 SW BIRCH ST STE 130-D, NEWPORT BEACH, CA 92660
Registered with this firm since 2/15/2024
Previous Registration(s)
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 08/29/2007 - 09/09/2024 ROYAL FINANCIAL (CRD#:111339) NEWPORT BEACH, CA
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 01/02/2004 - 08/03/2009 MUTUAL SERVICE CORPORATION (CRD#:4806) NEWPORT BEACH, CA
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 10/20/2003 - 01/14/2004 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
B
 11/26/1993 - 10/06/2003 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.