Carter D Mallett
Investment adviser representative at Commonwealth Financial Network
12 yearsExperience
2 statesRegistered in
$212.7BFirm assets
34 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- Commonwealth Financial NetworkJan 2024 to now
- R2 Financial StrategiesFeb 2021 to now
- Commonwealth Financial NetworkFeb 2022 to Dec 2023
- Eagle Strategies LLCMar 2021 to Feb 2022
- Nylife Securities LLCFeb 2021 to Feb 2022
- New York Life Insurance CompanyJan 2021 to Feb 2022
- Essential Investment Partners, LLCAug 2020 to Dec 2020
- Charles Schwab & Co., Inc.May 2019 to Aug 2020
- Iowa State University (parks Library)Oct 2018 to Apr 2019
- New York LifeJun 2018 to Feb 2019
- Kingland SystemsMar 2018 to Jul 2018
- R2 Financial StrategiesJun 2017 to Aug 2018
- City State BankJul 2014 to Apr 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2020
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 2 states (IA, TX).
Commonwealth Financial Network
Legal name: Commonwealth Equity Services, LLC
$212.7BAssets managed
360,488Clients
2,700Advisers
34 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6978242
- Firm CRD
- 8032