Stephen
Carter

Royal Alliance Associates, Inc

CRD#6074080
Investment Advisor
in Grandville, MI

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About this Advisor

Stephen Carter is a financial advisor working out of Grandville, Michigan, with 5 years of industry experience. Carter is an employee of Royal Alliance Associates, Inc. Throughout their career, they have worked at Forest Hills Financial Inc, American Portfolios Financial Services, Inc, First Allied Securities, Inc, Royal Securities Company, Signator Investors Inc and Royal Alliance Associates, Inc. Carter maintains a Series 66 license, certifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in Michigan. Royal Alliance Associates, Inc is a registered investment firm based in Jersey City, NJ. The investment advisory business has offices in 1,009 locations and a total of 3,704 financial advisors. It oversees $30 billion in assets across its 149,233 client accounts, making it one of the biggest investment advisory firms in the nation by assets under management. The firm serves 191 charitable organizations. Of its 149,233 accounts, just 11% are associated with high-net-worth clients who have greater than $1 million in assets. The company provides a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. Fees for financial advice largely vary depending on which services the firm provides the client. However, fee types charged by Royal Alliance Associates, Inc most likely consist of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66

Years Registered*

5 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

4095 Chicago Dr Sw Suite 120
Grandville, MI 49418

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Royal Alliance Associates, Inc Brokerage Details

Total Assets Under Management

$29,536,149,674

MI Average: $10,121,009,343
Total Number of Employees

3,704

MI Average: 92
Total Number of Accounts

149,233

MI Average: 6,978
Average Account Size

$197,920

MI Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

Stephen Carter Work History

Stephen has been registered as a financial advisor for 5 years.*

2018 - Present (6 years)

Royal Alliance Associates, Inc

2017 - 2018 (1 year)

Signator Investors Inc

2014 - 2014 (< 1 year)

First Allied Securities, Inc

2014 - 2017 (3 years)

Royal Securities Company

2013 - 2014 (1 year)

Forest Hills Financial Inc

2013 - 2014 (1 year)

American Portfolios Financial Services, Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Stephen Carter to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Royal Alliance Associates, Inc

Trisha Qualy
St Louis Park, MN
Joel Morales
Wesley Chapel, FL
Stephen Carter
Grandville, MI
David Whitfield
Mishawaka, IN
Amanda Johnson
Spokane, WA
Austen Harvey
Jersey City, NJ
Louis Sparacino
Mineola, NY
Phillip Wong
Wayland, MA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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