Carter Stockwell is a registered investment advisor, based in Charlotte, NC, with 1 years of industry experience. Carter is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Charlotte, NC
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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
Allspring Funds Distributor, LLCBroker
March 2026 - Present · 7 mos
Allspring Funds Distributor, LLC
March 2026 - Present · 7 mos
Allspring Funds Management, LLC
March 2026 - Present · 7 mos
Previous Registrations
Vanguard Marketing CorporationBroker
June 2025 - March 2026 · 9 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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