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Type: Dual Registration

Carter Hotchkiss is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 26,100 registered representatives nationwide. Carter has held an industry securities registration for 14 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Carter Walker Hotchkiss has not answered any questions on Financial Q&A.

Top Guides

Carter Walker Hotchkiss has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Other Investment Advisors
Business Development Companies
State or Municipal Government Entities
Corporations or Other Businesses
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Wells Fargo Advisors, LLC (19616) 4 years, 11 months May 2009 - Present
Wachovia Securities, LLC 5 years, 11 months Jun 2003 - May 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/18/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

No Disclosures Found

No Disclosures Found

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 12/06/2005
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 03/01/1984
Uniform Securities Agent State Law Examination Series 63 12/07/1979
General Securities Representative Examination Series 7 11/17/1979

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions