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Carter Financial, LLC

● SEC registered since 2019CRD 298327SEC# 801-117265La Jolla, CA
Export (members)
Reg. AUM
$251.9M
Employees
3
Accounts
536
Location
La Jolla, CA

Carter Financial, LLC assets under management

Carter Financial, LLC is a registered investment adviser overseen by the SEC based in La Jolla, CA. The firm has been registered since 2019. It reports $251.9 million in regulatory assets under management and employs 3 people.
www.linkedin.com/public-profile/in/steve-carter-8881649bView on SEC.gov ↗

Carter Financial, LLC owners & executives

2 reported
NameTitleOwnershipSince
Christina Michelle Hammann ControlChief Compliance Officer25-50%2019
Steven Frederick Carter ControlPrincipal And Financial Planning ManagerOver 75%2019

Frequently asked questions

How much does Carter Financial, LLC manage?

Carter Financial, LLC reports $251.9 million in regulatory assets under management on its Form ADV.

How many employees does Carter Financial, LLC have?

Carter Financial, LLC reports 3 employees.

Where is Carter Financial, LLC located?

Carter Financial, LLC is based in La Jolla, CA and has been SEC-registered since 2019.

Does Carter Financial, LLC disclose fund performance?

Carter Financial, LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.

Contact & registration

Address4225 Executive Square, Suite 1030, La Jolla, CA 92037
Phone858-678-0579
Office hours7:30a.m.-5:00p.m.
SEC regionLos Angeles Regional Office (LARO)
Discloses disciplinary historyNo

Assets under management

Discretionary$251.9M
Non-discretionary$0
Total (RAUM)$251.9M