Raymond Carota has been Owner & Chief Compliance Officer of Carota Wealth Management since June 2026, is a control person of the firm and directly owns 75% or more of it.
Carota Wealth Management is a firm with $135M under management, 221 clients and 2 advisers in one office, as of its August 2026 filing.
Raymond Carota is President & Private Wealth Advisor of Carota Wealth Management. He founded the practice and works directly with each client. He has spent nearly thirty years advising clients on business exits, retirement transitions, inheritances and estate planning, and has guided clients through multiple market cycles, interest rate regimes and tax law changes.
Raymond Carota’s longest registration is the current one, 22 years at Carota Wealth Management since 2003. Before joining Carota Wealth Management in 2003, Raymond Carota was registered through The Ambrose Financial Group, Inc.
- American Portfolios Advisors, Inc– · 8 yearsHolbrook , NY · Adviser representative · Firm CRD 112697
- Carota Wealth ManagementCurrent– present · 22 yearsThompsons Station, TN · Adviser representative · Firm CRD 127344
- The Ambrose Financial Group, Inc.– · 2 yearsChadds Ford, PA · Adviser representative · Firm CRD 108395
Investment adviser representative registrations
Raymond Carota is registered as an investment adviser representative in 7 states, as a resident of Texas. The first approvals date from November 2003; the most recent is Tennessee, in February 2025.
- DelawareSince 26 February 2007
- FloridaSince 6 May 2015
- MarylandSince 2 July 2018
- New JerseySince 7 March 2006
- PennsylvaniaSince 17 November 2003
- TennesseeSince 24 February 2025
- TexasResidentSince 27 February 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 November 2001 |
| Series 24 | General Securities Principal Examination | 26 July 1999 |
| Series 7 | General Securities Representative Examination | 14 January 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 August 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Raymond Noah Carota
- CRD
- 2784250
- Firm
- Carota Wealth Management · CRD 127344
- Role
- Owner & Chief Compliance Officer
- Office
- Thompsons Station, TN
- Registration
- Investment adviser registration
- In the industry since
- January 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- carotawealth.com
Where does Raymond Carota work?
Raymond Carota has been Owner & Chief Compliance Officer of Carota Wealth Management since June 2026, and is a control person of the firm.
Is Raymond Carota a financial advisor?
Yes. Raymond Carota has a current investment-adviser registration in Delaware, Florida, Maryland, New Jersey, Pennsylvania, Tennessee and Texas, through Carota Wealth Management since November 2003.
How many years of experience does Raymond Carota have?
Raymond Carota has 29 years in the financial industry, since January 1997, across 3 adviser firms.
What exams has Raymond Carota passed?
Raymond Carota has passed 4 licensing exams: the Series 63, Series 7, Series 24 and Series 66. The earliest, the Series 63, was passed in August 1996. FINRA credited Raymond Carota with the SIE, which began in October 2018.
Where is Raymond Carota based?
Raymond Carota’s registered office is in Thompsons Station, TN.
Is Raymond Carota registered with FINRA?
No. Raymond Carota has no current broker registration.
How can I verify Raymond Carota’s record?
Search CRD 2784250 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Raymond Carota’s full registration record.