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Detailed Report
BRIAN G CARTER
CRD#: 6219755
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1100 Ridgeway Loop Road
MEMPHIS, TN 38120
Registration History
20132014201520162017201820192020202120222023202420252026IARAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2016 - Present (8 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2015 - Present (9 years)BCARTY & COMPANY, INC. (CRD# 7001)2013 - 2015 (1 year)
License(s)

State Registrations

B
Mississippi 8/14/2015
B
Tennessee 8/14/2015
IA
Mississippi 4/4/2016
IA
Tennessee 4/5/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 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)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1100 Ridgeway Loop Road, MEMPHIS, TN 38120
Registered with this firm since 4/4/2016
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1100 Ridgeway Loop Road, MEMPHIS, TN 38120
Registered with this firm since 8/14/2015
Previous Registration(s)
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B
 09/04/2013 - 06/30/2015 CARTY & COMPANY, INC. (CRD#:7001) MEMPHIS, TN
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.