KC
CFP
KC
CFP
Kevin Carter
39 Years of Experience
3 DisclosuresBrokerSells Insurance
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningEducation PlanningSpecial Needs PlanningDivorce PlanningInsurance PlanningBusiness OwnersHigh Net Worth
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5 advisors
Number of Clients
812 clients
Average Client Portfolio
$400K average
Assets Under Management
$325.1M
Fee Structure
Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 2.50% |
| $250K - $500K | 2.30% |
| $500K - $1.0M | 1.75% |
| $1.0M - $5.0M | 1.50% |
| $5.0M - $10.0M | 1.25% |
| $10M+ | 1.00% |
Investment management fee is negotiable. Sub-adviser's fee is variable and non-negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
200 N. Northwest Highway, Barrington, IL, 60010
Get directionsHistory
Regulatory History (3)
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
January 2003Settled
Employment Separation After Allegations
October 1980Criminal
October 1980Final Disposition
Other Business ActivitiesSells Insurance
Kevin is the President of Carter Financial Group, Inc., a Registered Investment Advisor, dedicating full-time hours to financial planning and investments. He is also an independent insurance agent selling life, health, and Medicare supplement insurance, spending a few hours per week on this activity, and is involved in managing several rental properties.
Employment History
Current Registrations
Carter Financial Group, INC.
October 2019 - Present · 6 yrs 5 mos
Mutual Securities, INC.Broker
October 2019 - Present · 6 yrs 5 mos
Previous Registrations
Voya Financial Advisors, INC.
July 1998 - October 2019 · 21 yrs 3 mos
Voya Financial Advisors, INC.Broker
December 1995 - October 2019 · 23 yrs 10 mos
John Hancock Distributors, INC.Broker
March 1986 - November 1995 · 9 yrs 8 mos
John Hancock Mutual Life Insurance CompanyBroker
March 1986 - November 1995 · 9 yrs 8 mos
State Registrations20 states
AZCACOFLGAILINKSMDMONCNHNMNVOHORSCTXWAWI
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.