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Marilyn Carter is a registered investment advisor at Insight Securities, INC., based in Spirit Lake, IA, with 41 years of industry experience. Their firm serves 48 clients with $94M in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
22 advisors
IM Fee
Planning only
Assets Under Management
$94.2M
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Location
Spirit Lake, IA
Get directionsHistory
Regulatory History (5)
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.
Customer Dispute
February 2004Denied
Customer Dispute
August 2003Settled
Customer Dispute
August 2000Denied
Customer Dispute
June 1995Award / Judgment
Customer Dispute
November 1993Award / Judgment
Employment History
Current Registrations
Insight Securities, INC.
November 2016 - Present · 9 yrs 5 mos
Insight Securities, INC.Broker
March 1996 - Present · 30 yrs 1 mo
Previous Registrations
Painewebber IncorporatedBroker
May 1992 - March 1996 · 3 yrs 10 mos
Lehman Brothers INC.Broker
March 1988 - June 1992 · 4 yrs 3 mos
E. F. Hutton & Company INCBroker
May 1984 - March 1988 · 3 yrs 10 mos
State Registrations14 states
AZCACOIAILMIMONENYOHRISDTXWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.