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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

SOLOMON CARTIER

Advisor at HIGHTOWER ADVISORS, LLC

CHICAGO, IL | Dallas, TX

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Search this name across graphsid dfx:ria:0dd0cc9e-437d-b2a3-0f1f-02b05cc85b65

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jun 21, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 7, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jul 7, 1997
First registration: Jun 21, 2007
Dual registered: yes, broker-dealer
Other names: SOL CARTIER|SOLOMON LEE CARTIER|SOLOMONLEE GEE WAH CARTIER|SOLOMON LEE GEE WAH CARTIER
IAPD individual key: 2200284

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Feb 5, 2021	n/a	yes	CHICAGO, IL\|Dallas, TX	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	Aug 8, 2019	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Dec 22, 2014	Jan 8, 2018	no	ADDISON, TX	Previous registration
FIRST HEARTLAND CONSULTANTS, INC.	Bd affiliated wealth	Mar 7, 2012	Oct 31, 2014	no	MCKINNEY, TX	Previous registration
SETHI TAX AND WEALTH ADVISORS	n/a	Oct 17, 2011	Feb 6, 2012	no	PLANO, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 30, 2010	Oct 13, 2011	no	MCKINNEY, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 21, 2007	Jan 20, 2009	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 21, 2007	Jan 20, 2009	no	FORT WORTH, TX\|FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
USAA INVESTMENT SERVICES COMPANY	HIGHTOWER ADVISORS, LLC	Aug 8, 2019	Feb 5, 2021	547	Firm change after gap	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
FIRST HEARTLAND CONSULTANTS, INC.	USAA FINANCIAL PLANNING SERVICES	Oct 31, 2014	Dec 22, 2014	52	Firm change	Other
SETHI TAX AND WEALTH ADVISORS	FIRST HEARTLAND CONSULTANTS, INC.	Feb 6, 2012	Mar 7, 2012	30	Firm change	Other
WELLS FARGO ADVISORS	SETHI TAX AND WEALTH ADVISORS	Oct 13, 2011	Oct 17, 2011	4	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	WELLS FARGO ADVISORS	Jan 20, 2009	Jun 30, 2010	526	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 20, 2009	Jun 21, 2007	-579	Channel change	Other

Relationships

Registered with (8)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Feb 5, 2021 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to Aug 8, 2019factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Dec 22, 2014 to Jan 8, 2018factForm ADV
→ FIRST HEARTLAND CONSULTANTS, INC.Registered adviserregistration: previous registration
Mar 7, 2012 to Oct 31, 2014factForm ADV
→ SETHI TAX AND WEALTH ADVISORSRegistered adviserregistration: previous registration
Oct 17, 2011 to Feb 6, 2012factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 30, 2010 to Oct 13, 2011factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 21, 2007 to Jan 20, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 21, 2007 to Jan 20, 2009factForm ADV

Dated events

No dated event names this entity yet.