Articles Tagged with Ken Carter

Ken CarterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 19, 2018 indicate that Washington-based RBC Capital Markets broker/adviser Ken Carter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carter (CRD# 1351802).

Ken Carter has spent thirty-three years in the securities industry and has been registered with RBC Capital Markets in Seattle, Washington since 1998. Previous registrations include Piper Jaffray in Minneapolis, Minnesota (1987-1998); National Securities Corporation (1986-1987); and First Investors Corporation (1985-1986). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 26, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 5, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on May 5, 2003; Series 7 (General Securities Representative Examination), which he obtained on July 19, 1986; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 2, 1985. He is a registered broker and investment adviser with 30 US states and territories, and with ten self-regulatory organizations (SROs): BOX Options Exchange, Cboe Exchange, FINRA, NYSE American, NYSE Arca, Nasdaq BX, Nasdaq ISE, Nasdaq PHLX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

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