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

Jeffrey J Carter

LPL Financial LLCBD affiliatedWestlake Village, Cadual registrantIAPD 5332331

Feed of 09/14/2026

Also filed as Jeffrey James Carter

At current firm

1 y

since Aug 15, 2025

In the industry

18 y

since Nov 3, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Aug 15, 2025 · Westlake Village, Ca
B. Riley Wealth Advisors, Inc. BD affiliated
Sep 8, 2023 to Aug 28, 2025 · Los Angeles, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 1, 2016 to Sep 9, 2023 · Westlake Village, Ca
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Mar 29, 2016 · Westlake Village, Ca
Chase Investment Services Corp. former
Oct 25, 2011 to Oct 1, 2012 · Culver City, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 2, 2009 to Oct 4, 2011 · Encino, Ca
UBS Financial Services Inc. wirehouse
Nov 5, 2007 to Dec 8, 2008 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

B. Riley Wealth Advisors, Inc. to LPL Financial LLC
left Aug 28, 2025, registered Aug 15, 2025 (-13 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to B. Riley Wealth Advisors, Inc.
left Sep 9, 2023, registered Sep 8, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 29, 2016, registered Mar 1, 2016 (-28 days) · Wirehouse to wirehouse
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.
left Oct 4, 2011, registered Oct 25, 2011 (21 days) · Other
UBS Financial Services Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Dec 8, 2008, registered Feb 2, 2009 (56 days) · Wirehouse to wirehouse

Signals

Jeffrey J Carter left B. Riley Wealth Advisors, Inc. for Lpl Financial Llc (registered 2025-08-15)
Aug 28, 2025 · Advisor changed firm · fact
Jeffrey J Carter left Merrill Lynch, Pierce, Fenner & Smith Incorporated for B. Riley Wealth Advisors, Inc. (registered 2023-09-08)
Sep 9, 2023 · Advisor changed firm · fact

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address