James Gary Diffley

Carter, Terry & Company, INC.

42 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment Management

Carter, Terry & Company, INC.

Compensation

Fee-Only (AUM)

Firm Size

17 advisors

Number of Clients

185 clients

Average Client Portfolio

$602K average

Assets Under Management

$111.3M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $100K	2.00%
$100K - $500K	2.00%
$500K - $1.0M	2.00%
$1.0M - $2.0M	2.00%
$2.0M - $5.0M	1.75%
$5M+	1.50%

All fees are negotiable.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Location

3060 Peachtree Road Suite 1200, Atlanta, GA, 30305

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Judgment / Lien

June 2015

Customer Dispute

July 1986

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Carter, Terry & Company, INC.

July 2004 - Present · 21 yrs 7 mos

Carter, Terry & Company, INC.Broker

April 2004 - Present · 21 yrs 10 mos

Previous Registrations

Wachovia Securities, LLC

May 2003 - March 2004 · 10 mos

Wachovia Securities, LLCBroker

September 1999 - March 2004 · 4 yrs 6 mos

Dean Witter Reynolds INC.Broker

April 1991 - September 1999 · 8 yrs 5 mos

Alex. Brown & Sons IncorporatedBroker

June 1985 - March 1991 · 5 yrs 9 mos

J.C. Bradford & CO.Broker

April 1983 - July 1985 · 2 yrs 3 mos

State Registrations6 states

ALGANCSCTXVA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.