Austin
Carter

Principal Advised Services

CRD#7319701
Investment Advisor
in Concord, NC

Answer a few questions and
get matched with an advisor.

Find an Advisor

About this Advisor

Austin Carter is a financial advisor based in Concord, North Carolina, working with Principal Advised Services. Austin has previously held positions at Rhi, Wells Fargo Clearing Services LLC, Sun And Ski Sports, United Event Services, Dicks Sporting Goods, Crooked Creek Golf Club, Principal Life Insurance Company, Principal Securities Inc, and Principal Advised Services. Austin has passed the Series 66 and Series 63 regulatory exams and is registered to provide services in Iowa and North Carolina. Currently, Austin is part of Principal Advised Services, which operates out of Concord, North Carolina. The firm has 46 offices and 140 employees. The firm manages assets totaling $569.5 million and offers services including portfolio management for individuals and small businesses, and selection of other advisers. The fee structure at Principal Advised Services includes asset-based fees.

Certifications and Registrations

Series 66, Series 63

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets

Office Location

Concord, NC

Not sure which advisor is right for you? Use our matching tool.

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.

Principal Advised Services Brokerage Details

Total Assets Under Management

$569,489,941

NC Average: $9,259,360,772
Total Number of Employees

140

NC Average: 166
Total Number of Accounts

11,801

NC Average: 7,189
Average Account Size

$48,258

NC Average: $1,287,990

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Austin Carter Work History

2024 - Present (0 year)

Principal Advised Services

2021 - Present (3 years)

Principal Life Insurance Company

2021 - Present (3 years)

Principal Securities Inc

2020 - 2021 (1 year)

Rhi

2020 - 2021 (1 year)

Wells Fargo Clearing Services LLC

2017 - 2020 (3 years)

Sun And Ski Sports

2016 - 2017 (1 year)

United Event Services

2016 - 2016 (< 1 year)

Dicks Sporting Goods

2012 - 2014 (2 years)

Crooked Creek Golf Club

Disclosures

Please visit the SEC profile of Austin 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 Principal Advised Services

Lori Calloway
Frankfort, IN
Austin Siefers
Des Moines, IA
Scott Christensen
Des Moines, IA
Stanley Poorman
Des Moines, IA
David Lemke
Urbandale, IA
Paige Hardaway
Charlotte, NC
Scott Mueller
Lake Oswego, OR
Ryan Steffen
Des Moines, IA

The content in this profile was updated by SmartAsset on 6/19/2024. 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.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started