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Wilfred Carter

Prospera Financial Services, INC.
37 Years of Experience
Lubbock, TX
4 DisclosuresBroker
View SEC Summary
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Wilfred Carter is a registered investment advisor at Prospera Financial Services, INC., based in Lubbock, TX, with 37 years of industry experience. Wilfred is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3223 South Loop 289 Suite 124, Lubbock, TX, 79423

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History

Regulatory History (4)
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.
Financial
June 2022
Final
Customer Dispute
September 2005
Settled
Customer Dispute
October 2001
Denied
Regulatory
September 1998
Final
View Full SEC ReportHow to Read Disclosures
Other 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.
June 2005 - Present · 21 yrs 4 mos
Prospera Financial Services, INC.Broker
May 2005 - Present · 21 yrs 5 mos
Previous Registrations
Wachovia Securities Financial Network, LLCBroker
January 2004 - June 2005 · 1 yr 5 mos
Wachovia Securities Financial Network, LLC
January 2004 - June 2005 · 1 yr 5 mos
Wachovia Securities, LLC
July 2003 - December 2003 · 5 mos
Wachovia Securities, LLCBroker
July 2003 - December 2003 · 5 mos
Prudential Securities Incorporated
October 1998 - July 2003 · 4 yrs 9 mos
Prudential Securities IncorporatedBroker
September 1998 - July 2003 · 4 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1992 - August 1998 · 5 yrs 9 mos
Prudential-Bache Securities INC.Broker
August 1985 - January 1989 · 3 yrs 5 mos
State Registrations16 states
ALAZCAFLGAINKYLAMNMONCNMOKSCTXVA
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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