Chauncey M Carter

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (4)

SIESeries 7Series 6Series 66

Registered states (5)

Florida · Maryland · New York · North Carolina · Pennsylvania

Years in the industry (source record)

11

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 (14)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

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

  Wayne, PA · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Wayne, PA · IA capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  Greenville, DE · IA capacity
  Jun 6, 2022 → Oct 2, 2024
• Fidelity Brokerage Services LLC

  Greenville, DE · BC capacity
  May 31, 2022 → Oct 2, 2024
• Hartford Funds

  Wayne, PA · IA capacity
  Feb 23, 2021 → Apr 14, 2022
• Hartford Funds Distributors, LLC

  Wayne, PA · BC capacity
  Feb 23, 2021 → Apr 14, 2022
• Advice And Planning Services

  Newark, DE · IA capacity
  Jun 18, 2018 → Nov 13, 2020
• Tiaa-Cref Individual & Institutional Services, LLC

  Newark, DE · BC capacity
  May 29, 2018 → Nov 13, 2020
• Suntrust Advisory Services, Inc.

  Bowie, MD · IA capacity
  Jun 29, 2017 → May 11, 2018
• Suntrust Investment Services, Inc.

  Bowie, MD · BC capacity
  Jun 29, 2017 → May 11, 2018
• Pnc Investments

  Baltimore, MD · IA capacity
  Sep 29, 2015 → Jun 20, 2017
• Pnc Investments

  Baltimore, MD · BC capacity
  May 15, 2015 → Jun 20, 2017
• M&t Securities, Inc.

  Baltimore, MD · BC capacity
  Apr 14, 2014 → Mar 30, 2015

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.