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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

JOHN ALLEN CARTER

Advisor at CHARLES SCHWAB & CO., INC.

Frisco, TX | Houston, TX | Mountain Brook, AL

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Search this name across graphsid dfx:ria:a7acab2c-7191-4dd0-5aee-849236e539b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2009 to Sep 15, 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 26, 2009
First registration: Mar 3, 2009
Dual registered: yes, broker-dealer
Other names: JOHN CARTER|JOHN A CARTER
IAPD individual key: 4625357

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 26, 2022	n/a	yes	Frisco, TX\|Mountain Brook, AL\|Houston, TX	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Apr 6, 2011	Oct 14, 2022	no	WestLake, TX\|DALLAS, TX\|FORT WORTH, TX\|HOUSTON, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 1, 2011	Sep 7, 2023	no	FORT WORTH, TX\|Dallas, TX\|Dallas, TX\|Houston, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 26, 2010	Jan 6, 2011	no	DALLAS, TX\|IRVING, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 3, 2009	Mar 25, 2010	no	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 7, 2023	Apr 6, 2011	-4,537	Channel change	Other
TD AMERITRADE, INC.	CHARLES SCHWAB & CO., INC.	Oct 14, 2022	Jan 26, 2022	-261	Channel change	Other
CHASE INVESTMENT SERVICES CORP.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jan 6, 2011	Apr 1, 2011	85	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHASE INVESTMENT SERVICES CORP.	Mar 25, 2010	Jul 26, 2010	123	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
111514:7870:TX:2023-09-07	Sep 7, 2023	Apr 6, 2011	HOUSTON, TX	Firm change after gap

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 26, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 1, 2011 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 6, 2011 to Oct 14, 2022factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 26, 2010 to Jan 6, 2011factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 3, 2009 to Mar 25, 2010factForm ADV

Dated events

No dated event names this entity yet.