David Carter has been an investment adviser representative at Forefront Wealth Partners since May 2024, and is not listed among the firm’s executive officers or direct owners.
Forefront Wealth Partners, LLC is an Austin, TX firm with $240M under management, 572 clients and 7 advisers across 6 offices, as of its September 2026 filing.
David Carter’s longest registration was 23 years at Prudential Financial Planning Services (2000–2024). Before joining Forefront Wealth Partners in 2024, David Carter was registered through Prudential Financial Planning Services.
- Prudential Financial Planning Services– · 23 yearsForest, VA · Adviser representative · Firm CRD 5685
Investment adviser representative registrations
David Carter is registered as an investment adviser representative in 3 states. The first approvals date from May 2024; the most recent is South Carolina, in November 2024.
- North CarolinaSince 25 September 2024
- South CarolinaSince 19 November 2024
- VirginiaSince 17 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 11 November 2013 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 August 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 April 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 April 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- David Allen Carter
- CRD
- 1097964
- Firm
- Forefront Wealth Partners · CRD 308521
- Office
- Forest, VA
- Registration
- Investment adviser registration
- In the industry since
- April 1983
- Disciplinary history
- Not yet shown here · SEC record
Where does David Carter work?
David Carter is an investment adviser representative registered through Forefront Wealth Partners, LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is David Carter a financial advisor?
Yes. David Carter has a current investment-adviser registration in North Carolina, South Carolina and Virginia, through Forefront Wealth Partners since May 2024.
How many years of experience does David Carter have?
David Carter has 43 years in the financial industry, since April 1983, across 2 adviser firms.
What exams has David Carter passed?
David Carter has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in April 1983. FINRA credited David Carter with the SIE, which began in October 2018.
Where is David Carter based?
David Carter’s registered office is in Forest, VA.
Is David Carter registered with FINRA?
No. David Carter has no current broker registration.
How can I verify David Carter’s record?
Search CRD 1097964 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Carter’s full registration record.
