Wilfred Carter
Wilfred Carter is a registered investment advisor at Prospera Financial Services, INC., based in Lubbock, TX, with 36 years of industry experience. Their practice areas include Estate Planning, Retirement Planning. Their firm serves 19,103 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Prospera Financial Services offers investment management through various programs. The fees are based on a percentage of your portfolio's value and are negotiable, but the maximum annual fee is 2.15%. The specific fee and services are agreed upon in an advisory agreement. Fees are typically deducted from your account. Some programs may have additional fees, such as transaction costs or sub-account fees. Prospera also participates in revenue sharing with custodians and other third parties, which creates a conflict of interest.
Location
3223 South Loop 289 Suite 124, Lubbock, TX, 79423
Get directionsHistory
Regulatory History (4)
Financial
June 2022Customer Dispute
September 2005Customer Dispute
October 2001Regulatory
September 1998Other Business Activities
Wilfred is the sole owner of WC Deo Volente Enterprise, Inc., an investment-related business. He spends minimal time on this activity and collects a small percentage of his annual income from it.
Employment History
Current Registrations
Prospera Financial Services, INC.
Prospera Financial Services, INC.Broker
Previous Registrations
Wachovia Securities Financial Network, LLCBroker
Wachovia Securities Financial Network, LLC
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Prudential-Bache Securities INC.Broker
State Registrations16 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.