David Michael Carter
How is this counted?
Counted from the earlier of the person's first job or first state securities exam on their SEC record (currently the Series 63, 65 or 66). The SIE, futures exams and earlier firm registrations are not counted. The count runs to the end of their latest job, or this year if a job is still open. It includes every employer listed, even outside investment work, and any gaps between jobs. The SEC record lists jobs held in about the last 10 years, so jobs that ended before then are not counted. Years are counted by calendar year, so the figure can run up to a year high. This is not a measure of skill or quality.
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Services the firm offers
These describe the firm as a whole, not only this advisor.
Experience
16 years since the first job or state securities exam on the SEC record. Counts all jobs listed.
- B. Riley Wealth Advisors, Inc.Oct 2026 to now
- B. Riley Wealth ManagementOct 2026 to now
- J.J. Burns & CompanySep 2025 to Jul 2026
- JPMorgan Chase Bank NAMay 2022 to Sep 2025
- JPMorgan Securities LLCMay 2022 to Sep 2025
- Wealthspire / Lenox Wealth Advisors LLCJan 2012 to May 2022
Designations
- CFA
Exams passed
- Series 66 · Uniform Combined State Law2010
- Series 63 · Uniform Securities Agent State Law2022
State registrations
Registered as an investment adviser representative in 1 state (NY).
B. Riley Wealth Advisors, Inc.
Official records
Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- 2362095
- 115927