Roger Carter (CRD# 874053) is an Investment Advisor Representative working at Sepio Capital, LP in Salt Lake City, UT and has over 44 years of experience in the finance industry.
CRD# 840425
Equitable Advisors, LLC
CRD# 1473328
Brookstone Capital Management LLC
CRD# 6515855
Ignite Planners LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Sepio Capital, LLC | Salt Lake City, UT | May 2017 - Current | 7 |
| Bank Of America, N.a. | San Francisco, CA | Jun 2011 - May 2017 | 5 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco, CA | Apr 2008 - May 2017 | 9 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Dec 1979 |
| S65 | NASAA Investment Advisors Law Examination | Dec 1994 |
- CA
- UT
-
Total Assets Under Management6,672MILLIONS
-
Total Number of Accounts1,963ACCOUNTS
-
Average Account Value$3,398,896
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AZ, CA, CO, CT, FL, GA, LA, MD, NE, NH, NV, NY, TN, TX, UT, WY
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