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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

David Allen Carter

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Surprise, AZ

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Search this name across graphsid dfx:ria:f28ec706-3e16-fa78-29df-7f4a1ddb83b5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Nov 24, 1999 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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: Mar 16, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 16, 1999
First registration: Nov 24, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 3168801

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Nov 23, 2025	n/a	yes	Surprise, AZ	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Nov 18, 2025	no	SCOTTSDALE, AZ\|SURPRISE, AZ\|SCOTTSDALE, AZ\|Surprise, AZ\|SURPRISE, AZ	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Apr 21, 2022	Jun 29, 2023	no	SCOTTSDALE, AZ\|EL SEGUNDO, CA\|SURPRISE, AZ\|Surprise, AZ\|SURPRISE, AZ	Previous registration
FIRST FINANCIAL EQUITY CORPORATION	Former SEC adviser	Jan 31, 2007	Mar 2, 2022	no	GREENWOOD VILLAGE, CO\|ORONOGO, MO\|Glendale, AZ\|SCOTTSDALE, AZ\|SCOTTSDALE, AZ	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Nov 3, 2005	Feb 12, 2007	no	PHOENIX, AZ\|LITTLETON, CO	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jun 3, 2003	Aug 29, 2005	no	BRIGHTON, CO	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 24, 1999	Jun 3, 2003	no	DENVER, CO	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
CETERA INVESTMENT ADVISERS LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Nov 18, 2025	Nov 23, 2025	5	Firm change	Ibd to ibd
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
FIRST FINANCIAL EQUITY CORPORATION	CETERA ADVISOR NETWORKS LLC	Mar 2, 2022	Apr 21, 2022	50	Firm change	Ibd to ibd
SAGEPOINT FINANCIAL, INC.	FIRST FINANCIAL EQUITY CORPORATION	Feb 12, 2007	Jan 31, 2007	-12	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	SAGEPOINT FINANCIAL, INC.	Aug 29, 2005	Nov 3, 2005	66	Firm change	Other
MORGAN STANLEY DW INC.	WELLS FARGO INVESTMENTS, LLC	Jun 3, 2003	Jun 3, 2003	0	Firm change	Other

Relationships

Registered with (7)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Nov 23, 2025 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Nov 18, 2025factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Apr 21, 2022 to Jun 29, 2023factForm ADV
→ FIRST FINANCIAL EQUITY CORPORATIONRegistered adviserregistration: previous registration
Jan 31, 2007 to Mar 2, 2022factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Nov 3, 2005 to Feb 12, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jun 3, 2003 to Aug 29, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 24, 1999 to Jun 3, 2003factForm ADV

Dated events

Occurred
Nov 18, 2025
Advisor changed firm
David Allen Carter left Cetera Investment Advisers Llc for Raymond James Financial Services Advisors, Inc (registered 2025-11-23)
Form ADVobserved 5 days ago
Occurred
Mar 2, 2022
Advisor changed firm
David Allen Carter left First Financial Equity Corporation for Cetera Advisor Networks Llc (registered 2022-04-21)
Form ADVobserved 5 days ago