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Clayton Carter

14 Years of Experience
Lexington, KY
Broker

Clayton Carter is a registered investment advisor at Cetera Investment Advisers LLC, based in Lexington, KY, with 14 years of industry experience. Clayton operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location

201 E Main St Ste 520, Lexington, KY, 40507

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History

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.

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Other Business Activities

Clayton is the 100% owner of The Dairy Dip LLC, a food service business, dedicating nearly full-time hours to it.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2023 - Present · 3 yrs 2 mos
Cetera Investment Services LLCBroker
June 2019 - Present · 6 yrs 11 mos
Previous Registrations
Foresters Financial Services, INC.Broker
April 2011 - June 2019 · 8 yrs 2 mos
State Registrations1 state
KY
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.
Clayton Carter - Financial Advisor | TrueAdvisor