Roger Carter has been Limited Partner and Managing Director of Sepio Capital since May 2017, is a control person of the firm and directly owns between 25% and 50% of it.
Sepio Capital, LP is a Salt Lake City, UT firm with $5.64B under management, 295 clients and 18 advisers across 5 offices, as of its April 2026 filing.
Roger Carter’s longest registration is the current one, 9 years at Sepio Capital since 2017. Before joining Sepio Capital in 2017, Roger Carter was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley & Co. Incorporated.
- Sepio Capital, LPCurrent– present · 9 yearsSalt Lake City, UT · Adviser representative · Firm CRD 285645
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 9 yearsSan Francisco, CA · Adviser representative · Firm CRD 7691
- Morgan Stanley & Co. Incorporated– · 6 yearsSan Francisco, CA · Adviser representative · Firm CRD 8209
Investment adviser representative registrations
Roger Carter is registered as an investment adviser representative in Utah, since May 2017.
- UtahSince 15 May 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 December 1994 |
| Series 15 | Foreign Currency Options Examination | 17 September 1985 |
| Series 5 | Interest Rate Options Examination | 14 October 1982 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 December 1979 |
| Series 7 | General Securities Representative Examination | 17 November 1979 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Foreign Currency Options Examination
- Name
- Interest Rate Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Roger Ashton Carter
- CRD
- 874053
- Firm
- Sepio Capital · CRD 285645
- Role
- Limited Partner and Managing Director
- Office
- 2795 E COTTONWOOD PKWY, SUITE 600, Salt Lake City, UT 84121
- Registration
- Investment adviser registration
- In the industry since
- November 1979
- Disciplinary history
- Not yet shown here · SEC record
Where does Roger Carter work?
Roger Carter has been Limited Partner and Managing Director of Sepio Capital, LP since May 2017, and is a control person of the firm.
Is Roger Carter a financial advisor?
Yes. Roger Carter has a current investment-adviser registration in Utah, through Sepio Capital since May 2017.
How many years of experience does Roger Carter have?
Roger Carter has 46 years in the financial industry, since November 1979, across 3 adviser firms.
What exams has Roger Carter passed?
Roger Carter has passed 5 licensing exams: the Series 7, Series 63, Series 5, Series 15 and Series 65. The earliest, the Series 7, was passed in November 1979. FINRA credited Roger Carter with the SIE, which began in October 2018.
Where did Roger Carter work before Sepio Capital?
Before Sepio Capital, Roger Carter was registered through Morgan Stanley & Co. Incorporated, April 2001 to April 2008.
Where is Roger Carter based?
Roger Carter’s registered office is in Salt Lake City, UT.
Is Roger Carter registered with FINRA?
No. Roger Carter has no current broker registration.
How can I verify Roger Carter’s record?
Search CRD 874053 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roger Carter’s full registration record.