Ken Carter
Ken Carter is a registered investment advisor at RBC Capital Markets, LLC, based in Seattle, WA, with 40 years of industry experience. Ken operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
401 Union Street, Suite 3600, Seattle, WA, 98101
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
February 1998Other Business Activities
Ken served on the Board of Directors for Open Door Ventures, a housing organization for people living with AIDS, from 2010 to 2018. This required minimal time.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Piper Jaffray INC.Broker
National Securities CorporationBroker
First Investors CorporationBroker
State Registrations28 states
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.