Joseph Cater is a registered investment advisor, based in San Antonio, TX, with 34 years of industry experience.
Location
111 West Houston Street, San Antonio, TX, 78205
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Frost Brokerage Services, INC.Broker
July 2024 - Present · 1 yr 10 mos
Frost Investment Services
July 2024 - Present · 1 yr 10 mos
Previous Registrations
Victory Capital Management INC.
September 2022 - June 2024 · 1 yr 9 mos
Victory Capital Services, INC.Broker
September 2022 - June 2024 · 1 yr 9 mos
Charles Schwab & CO., INC.Broker
June 2022 - September 2022 · 3 mos
Charles Schwab & CO., INC.
June 2022 - September 2022 · 3 mos
TD Ameritrade, INC.
February 2022 - September 2022 · 7 mos
TD Ameritrade, INC.Broker
February 2022 - September 2022 · 7 mos
TD Ameritrade Investment Management, LLC
February 2022 - September 2022 · 7 mos
Cuso Financial Services, L.P.Broker
March 2020 - January 2022 · 1 yr 10 mos
Cuso Financial Services, L.P.
March 2020 - January 2022 · 1 yr 10 mos
Raymond James Financial Services Advisors, INC
November 2015 - March 2020 · 4 yrs 4 mos
Raymond James Financial Services, INC.Broker
November 2015 - March 2020 · 4 yrs 4 mos
Cetera Investment Advisers LLC
January 2014 - November 2015 · 1 yr 10 mos
Cetera Investment Services LLCBroker
August 2005 - November 2015 · 10 yrs 3 mos
Cetera Investment Services LLC
August 2005 - January 2014 · 8 yrs 5 mos
Security Service Cuso, L.L.C.
February 2004 - October 2005 · 1 yr 8 mos
Fiserv Investor Services, INC.Broker
November 2002 - August 2005 · 2 yrs 9 mos
Banc of America Investment Services, INC.
October 2000 - October 2002 · 2 yrs
Banc of America Investment Services, INC.Broker
October 2000 - October 2002 · 2 yrs
Citicorp Investment ServicesBroker
August 1997 - September 2000 · 3 yrs 1 mo
Dean Witter Reynolds INC.Broker
August 1991 - August 1996 · 5 yrs
J. W. Gant & Associates, INC.Broker
July 1989 - March 1990 · 8 mos
State Registrations10 states
AZCACOFLGAIDLAORTNTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.