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Marilyn Carter

Insight Securities, INC.
42 Years of Experience
Spirit Lake, IA
5 DisclosuresBroker
View SEC Summary
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Marilyn Carter is a registered investment advisor at Insight Securities, INC., based in Spirit Lake, IA, with 42 years of industry experience. Marilyn is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 48 clients with $94M in assets under management.

Insight Securities, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
21 advisors
IM Fee
Planning only
Assets Under Management
$94.2M

Location

Spirit Lake, IA

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History

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 2004
Denied
Customer Dispute
August 2003
Settled
Customer Dispute
August 2000
Denied
Customer Dispute
June 1995
Award / Judgment
Customer Dispute
November 1993
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Insight Securities, INC.
November 2016 - Present · 9 yrs 11 mos
Insight Securities, INC.Broker
March 1996 - Present · 30 yrs 7 mos
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.
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