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Detailed Report
Drew R Carter
DREW R CARTER, DREW ROBERT CARTER, Drew Carter
CRD#: 5973081
IA
Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10230 WATSON RD
SAINT LOUIS, MO 63127
Registration History
201220142016201820202022202420262 FIRMS2014 - 2019 (4 years)2 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - 2022 (1 year)2 FIRMS2023 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2011 - 2014 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2014 (2 years)
License(s)

State Registrations

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Arkansas 1/8/2023
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Missouri 1/6/2023
B
Florida 1/8/2023
B
Nebraska 1/8/2023
B
Illinois 1/8/2023
B
Oklahoma 1/8/2023
B
Iowa 1/8/2023
B
Tennessee 1/8/2023
B
Kansas 1/8/2023
B
Texas 1/8/2023
B
Kentucky 1/26/2023
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Texas 1/24/2023
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Missouri 1/6/2023

SRO Registrations

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 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
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 New York Stock Exchange

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)
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10230 WATSON RD, SAINT LOUIS, MO 63127
707 GRAVOIS RD, FENTON, MO 63026
Registered with this firm since 1/6/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10230 WATSON RD, SAINT LOUIS, MO 63127
707 GRAVOIS RD, FENTON, MO 63026
Registered with this firm since 1/6/2023
Previous Registration(s)
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 09/10/2020 - 07/11/2022 PNC INVESTMENTS (CRD#:129052) WENTZVILLE, MO
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 09/09/2020 - 07/11/2022 PNC INVESTMENTS (CRD#:129052) WENTZVILLE, MO
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 04/04/2019 - 09/10/2020 HUNTINGTON FINANCIAL ADVISORS (CRD#:16986) INDIANAPOLIS, IN
B
 04/04/2019 - 09/10/2020 THE HUNTINGTON INVESTMENT COMPANY (CRD#:16986) INDIANAPOLIS, IN
IA
 08/25/2014 - 02/05/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) NOBLESVILLE, IN
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 08/25/2014 - 02/05/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) NOBLESVILLE, IN
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 05/09/2012 - 08/27/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LADUE, MO
B
 10/24/2011 - 08/27/2014 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LADUE, MO
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.