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Detailed Report
DARRYL ROBERT CARTER
CRD#: 3275842
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 6 VENTURE STE 250
IRVINE, CA 92618
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2024 (24 years)2 FIRMS2024 - Present (<1 year)
License(s)

State Registrations

B
Arizona 5/1/2024
B
New Mexico 5/1/2024
B
California 5/1/2024
B
New York 5/1/2024
IA
California 5/2/2024
B
North Carolina 5/1/2024
B
Colorado 5/31/2024
B
Ohio 6/1/2024
B
Connecticut 5/1/2024
B
Oregon 5/1/2024
B
Florida 5/1/2024
B
South Dakota 5/1/2024
B
Georgia 5/1/2024
B
Tennessee 5/1/2024
B
Idaho 5/1/2024
B
Texas 5/1/2024
B
Indiana 5/1/2024
IA
Texas 5/1/2024
B
Michigan 5/1/2024
B
Vermont 5/1/2024
B
Nevada 5/1/2024
B
Washington 5/1/2024
B
New Jersey 5/1/2024
B
Wisconsin 9/3/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
6 VENTURE STE 250, IRVINE, CA 92618
Registered with this firm since 5/1/2024
B
LPL FINANCIAL LLC (CRD#:6413)
6 VENTURE STE 250, IRVINE, CA 92618
Registered with this firm since 5/1/2024
Previous Registration(s)
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IA
 12/26/1999 - 05/02/2024 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) IRVINE, CA
B
 09/27/1999 - 05/02/2024 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) IRVINE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.