DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Todd Eugene Carter
Feed of 09/14/2026
Also filed as Todd Eugene Carter
At current firm
4 y
since Aug 17, 2022
In the industry
30 y
since Jun 24, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Frost Investment Services BD affiliated currentsince Aug 17, 2022 · San Antonio, Tx
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 2, 2009 to Sep 5, 2018 · Plano, Tx
- Raymond James Financial Services, Inc. unclassifiedOct 1, 2003 to Jan 2, 2009 · Plano, Tx
- Banc One Securities Corporation unclassifiedSep 13, 2002 to May 23, 2003 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- Raymond James Financial Services Advisors, Inc to Frost Investment Servicesleft Sep 5, 2018, registered Aug 17, 2022 (1442 days) · Affiliated broker-dealer or bank to another
- Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Incleft Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- Banc One Securities Corporation to Raymond James Financial Services, Inc.left May 23, 2003, registered Oct 1, 2003 (131 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address