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Detailed Report
RACHEL E CARTER
RACHEL E. CARTER, RACHEL ELISE CARTER
CRD#: 4679616
IA
Investment Adviser
B
Broker
SANCTUARY ADVISORS, LLCCRD#: 226606 929 NORTH FRONT STREET
SUITE 730
WILMINGTON, NC 28401
SANCTUARY SECURITIES, INC.CRD#: 205 929 N FRONT STREET
SUITE 730
WILMINGTON, NC 28401
Registration History
200620082010201220142016201820202022202420262 FIRMS2014 - 2024 (9 years)2 FIRMS2024 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2012 - 2014 (2 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2012 - 2012 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2010 - 2011 (<1 year)BPRUDENTIAL ANNUITIES DISTRIBUT... (CRD# 21570)2008 - 2010 (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2007 - 2008 (1 year)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2006 - 2007 (1 year)BCAPITAL ANALYSTS, INCORPORATED (CRD# 5478)2006 - 2006 (<1 year)IAMORGAN STANLEY (CRD# 149777)2013 - 2014 (1 year)
License(s)

State Registrations

B
Alabama 2/3/2025
B
New York 2/3/2025
B
Delaware 2/3/2025
B
North Carolina 1/5/2024
B
Florida 2/3/2025
IA
North Carolina 1/5/2024
B
Georgia 2/3/2025
B
Pennsylvania 2/3/2025
B
Missouri 2/3/2025
B
South Carolina 1/5/2024
B
New Jersey 2/3/2025

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
SANCTUARY ADVISORS, LLC (CRD#:226606)
929 NORTH FRONT STREET SUITE 730, WILMINGTON, NC 28401
Registered with this firm since 1/5/2024
B
SANCTUARY SECURITIES, INC. (CRD#:205)
929 N FRONT STREET SUITE 730, WILMINGTON, NC 28401
Registered with this firm since 1/5/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/14/2014 - 01/10/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILMINGTON, NC
B
 11/14/2014 - 01/10/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WILMINGTON, NC
IA
 02/15/2013 - 11/19/2014 MORGAN STANLEY (CRD#:149777) CHARLOTTE, NC
B
 08/30/2012 - 11/19/2014 MORGAN STANLEY (CRD#:149777) CHARLOTTE, NC
B
 03/27/2012 - 08/29/2012 NATIONAL PLANNING CORPORATION (CRD#:29604) GLASTONBURY, CT
B
 08/19/2010 - 06/10/2011 LPL FINANCIAL LLC (CRD#:6413) CHARLOTTE, NC
B
 10/22/2008 - 04/01/2010 PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (CRD#:21570) DRESHER, PA
B
 08/03/2007 - 09/18/2008 NATIONAL PLANNING CORPORATION (CRD#:29604) DENVER, CO
B
 02/14/2006 - 07/24/2007 JACKSON NATIONAL LIFE DISTRIBUTORS LLC (CRD#:40178) FRANKLIN, TN
B
 02/01/2006 - 02/13/2006 CAPITAL ANALYSTS, INCORPORATED (CRD#:5478) MEDFORD, NJ
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.