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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

DOUGLAS FOSDICK CARTER

Advisor at SCHWAB WEALTH ADVISORY, INC.

Omaha, NE

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2003 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: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 28, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jul 28, 1989
First registration: Jul 31, 2003
Dual registered: yes, broker-dealer
Other names: DOUG CARTER|DOUGLAS CARTER
IAPD individual key: 1963184

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
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Jan 9, 2024	n/a	yes	Omaha, NE	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 12, 2017	Sep 7, 2023	no	Omaha, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 12, 2017	Oct 14, 2022	no	Omaha, NE	Previous registration
MOLONEY SECURITIES ASSET MANAGEMENT LLC	Former SEC adviser	May 10, 2016	Dec 7, 2016	no	Gig Harbor, WA\|MANCHESTER, MO\|Gig Harbor, WA\|Gig Harbor, WA	Previous registration
MOLONEY INVESTMENT ADVISORY LLC	Former SEC adviser	May 10, 2016	Dec 7, 2016	no	Gig Harbor, WA\|MANCHESTER, MO\|Gig Harbor, WA\|Gig Harbor, WA	Previous registration
NATIONS FINANCIAL GROUP, INC.	Independent wealth	Apr 23, 2013	May 2, 2016	no	RATON, NM\|CEDAR RAPIDS, IA	Previous registration
MOLONEY SECURITIES CO., INC.	Former SEC adviser	Apr 3, 2012	Mar 15, 2013	no	GIG HARBOR, WA\|Denver, CO	Previous registration
NATIONS FINANCIAL GROUP, INC.	Independent wealth	Feb 25, 2010	May 4, 2012	no	CEDAR RAPIDS, IA	Previous registration
AMERICAN INDEPENDENT SECURITIES GROUP, LLC	Independent wealth	Oct 19, 2005	Aug 5, 2009	no	IRVINE, CA\|EAGLE, ID\|WOODSTOCK, IL\|EAGLE, ID\|CALDWELL, ID	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 31, 2003	Nov 10, 2004	no	BOISE, ID	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	SCHWAB WEALTH ADVISORY, INC.	Sep 7, 2023	Jan 9, 2024	124	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Jun 12, 2017	-1,950	Bulk transfer	Other
MOLONEY INVESTMENT ADVISORY LLC	MOLONEY SECURITIES ASSET MANAGEMENT LLC	Dec 7, 2016	May 10, 2016	-211	Channel change	Other
MOLONEY SECURITIES ASSET MANAGEMENT LLC	MOLONEY INVESTMENT ADVISORY LLC	Dec 7, 2016	May 10, 2016	-211	Firm change after gap	Other
NATIONS FINANCIAL GROUP, INC.	MOLONEY SECURITIES ASSET MANAGEMENT LLC	May 2, 2016	May 10, 2016	8	Firm change	Other
MOLONEY SECURITIES CO., INC.	NATIONS FINANCIAL GROUP, INC.	Mar 15, 2013	Apr 23, 2013	39	Firm change	Other
NATIONS FINANCIAL GROUP, INC.	MOLONEY SECURITIES CO., INC.	May 4, 2012	Apr 3, 2012	-31	Firm change after gap	Other
AMERICAN INDEPENDENT SECURITIES GROUP, LLC	NATIONS FINANCIAL GROUP, INC.	Aug 5, 2009	Feb 25, 2010	204	Firm change	Other
TD AMERITRADE, INC.	AMERICAN INDEPENDENT SECURITIES GROUP, LLC	Nov 10, 2004	Oct 19, 2005	343	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
111514:159035:NE:2023-09-07	Sep 7, 2023	Jan 9, 2024	OMAHA, NE	Firm change

Relationships

Registered with (8)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: current employment
Jan 9, 2024 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 12, 2017 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 12, 2017 to Oct 14, 2022factForm ADV
→ MOLONEY INVESTMENT ADVISORY LLCRegistered adviserregistration: previous registration
May 10, 2016 to Dec 7, 2016factForm ADV
→ MOLONEY SECURITIES ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
May 10, 2016 to Dec 7, 2016factForm ADV
→ NATIONS FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Apr 23, 2013 to May 2, 2016factForm ADV
→ MOLONEY SECURITIES CO., INC.Registered adviserregistration: previous registration
Apr 3, 2012 to Mar 15, 2013factForm ADV
→ AMERICAN INDEPENDENT SECURITIES GROUP, LLCRegistered adviserregistration: previous registration
Oct 19, 2005 to Aug 5, 2009factForm ADV

Dated events

No dated event names this entity yet.