Douglas Fosdick Carter

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (10)

SIESeries 7Series 10Series 9Series 53Series 24Series 4Series 8Series 66Series 63

Registered states (52)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

35

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (17)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Omaha, NE · BC capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Omaha, NE · IA capacity
  start not retrieved → present
• Schwab Wealth Advisory, Inc.Current

  Omaha, NE · IA capacity
  start not retrieved → present
• Td Ameritrade, Inc.

  Omaha, NE · BC capacity
  Jun 12, 2017 → Jan 8, 2024
• Td Ameritrade Investment Management, LLC

  Omaha, NE · IA capacity
  Jun 12, 2017 → Sep 7, 2023
• Td Ameritrade, Inc.

  Omaha, NE · IA capacity
  Jun 12, 2017 → Oct 14, 2022
• Moloney Securities Asset Management LLC

  Gig Harbor, WA · IA capacity
  May 10, 2016 → Dec 7, 2016
• Moloney Investment Advisory LLC

  Gig Harbor, WA · IA capacity
  May 10, 2016 → Dec 7, 2016
• Moloney Securities Co., Inc.

  Gig Harbor, WA · BC capacity
  Apr 29, 2016 → Dec 7, 2016
• Nations Financial Group, Inc.

  Raton, NM · IA capacity
  Apr 23, 2013 → May 2, 2016
• Nations Financial Group, Inc.

  Raton, NM · BC capacity
  Apr 22, 2013 → May 2, 2016
• Moloney Securities Co., Inc.

  Gig Harbor, WA · IA capacity
  Apr 3, 2012 → Mar 15, 2013
• American Independent Securities Group, LLC

  Eagle, ID · IA capacity
  Oct 19, 2005 → Aug 5, 2009
• American Independent Securities Group, LLC

  Eagle, ID · BC capacity
  Aug 18, 2005 → Aug 5, 2009
• Samco Financial Services, Inc.

  Phoenix, AZ · BC capacity
  Mar 4, 2005 → Dec 31, 2005
• First Of Philadelphia Investment Group, Inc.

  BC capacity
  Sep 14, 1989 → Oct 5, 1990
• Blinder, Robinson & Co., Inc.

  BC capacity
  Jul 18, 1989 → Sep 20, 1989

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.