| Advisor Profile |
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| Name: |
Stephen Carter, CFP® |
| Phone Number: |
(512) 515-1092 |
| Website: |
Visit Website
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Business Description |
As a Financial Advisor my role is to facilitate the development of a client's financial values, goals and vision. I help clients to envision what they want financial success to mean both during their lifetime and afterward. I then help develop a customized financial plan that addresses multi-generational planning as well as day-to-day needs. By understanding your goals, dreams and values, I can help you make financial and investment decisions that align with your values and help you plan to achieve your goals.
Whether you're looking for investment strategies, retirement income, funding for your child's education, or estate or tax planning strategies, we'll work with you on your terms. We offer a broad range of financial products and services including mutual funds and certificates, as well as brokerage services and financial planning. We also offer flexibility in the way you work with us: online, with the help of an advisor, or both. The choice is yours. |
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General Information |
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| Insurance License#: |
1252860 TX
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| Name of Broker/Dealer: |
Ameriprise Financial Services, Inc.
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| States Licensed in: |
CA, NE, AK, CO, FL, IN, LA, MI, NC, NY, OK, VA, WI, WY
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| States Willing to do Business in: |
TX
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| Years of Experience in Financial Services: |
8
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| Number of Years with Current Firm: |
6
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| I work with the following types of clients: |
Businesses, Non-Profit Organizations, Individual Investors
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Services |
| Investment Types: |
Bonds, Stocks, Annuities, Insurance, Mutual Funds, Options & Futures, Alternative Investments, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Chartered Mutual Fund Counselor (CMFC®), Chartered Retirement Planning Counselor (CRPC®), Accredited Asset Management Specialist (AAMS®)
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| Securities Licenses: |
Series 66, Series 24, Series 10, Series 9, Series 7
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Annuity, Health, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Advisor's Number of Clients: |
173
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| Advisor's Number of Managed Clients: |
173
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| Advisor's Number of Planning Clients: |
135
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| Assets Managed by Advisor: |
$26,000,000
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Based on Assets, Flat Fee, Commissions
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| Fee % Based on Assets: |
Varied
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| Prepared By: |
Stephen Carter, CFP® |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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We have a detailed policy regarding this. We want our clients to have a great experience ! |
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What are your qualifications? What is your education background? |
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MBA
BBA
Professional Associations -
Financial Planning Association
Qualifications
CERTIFIED FINANCIAL PLANNER™ practitioner
Certified Estate Planner™
CRPC®
AAMS®
CMFC®
MBA
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What services do you offer? |
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My areas of focus are -
Family Planning/Family Changes
Retirement Planning Strategies
Protection and Insurance
Estate Planning Strategies
Charitable Giving
Saving for Education
Asset Allocation
Employee Stock Options
General Financial Planning
Income Tax Planning Strategies
Domestic Partner Planning
Investment Advice
Small Business
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How many clients do you currently manage? |
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How are you compensated? How will I pay for your services? |
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You can choose a variety of structures. Fee only - Fee based - Commission only |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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Do you provide a free initial consultation? |
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Yes, it is the best way to determine if we can work together. |
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