CARTER FINANCIAL, LLC
CRD #298327 SEC #801-117265 LA JOLLA, CA 858-678-0579
SEC Registered
Total AUM
$251.9M
Discretionary
$251.9M
Employees
3
Clients
0
Accounts
536
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 24, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | NA | |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL ADVISOR | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL ADVISOR | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL ADVISOR | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| CARTER, STEVEN, FREDERICK | I | PRINCIPAL AND FINANCIAL PLANNING MANAGER | E | Control |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | C | Control |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | C | Control |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | C | Control |
| Hammann, CHRISTINA, MICHELLE | I | CHIEF COMPLIANCE OFFICER | C | Control |
Registrations
Federal
IA
Mar 24, 2025 REGISTERED
Notice Filings (3)
CA CO TX
Address
4225 EXECUTIVE SQUARESUITE 1030
LA JOLLA, CA 92037
United States
Phone: 858-678-0579