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Carter Walker Hotchkiss

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Type: SEC and FINRA Registered

Carter Hotchkiss is a financial professional at Wells Fargo Advisors, LLC, a broker-dealer with over 25,900 registered representatives nationwide. Carter has held an industry securities registration for 35 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Wells Fargo Advisors LLC 6 years, 7 months May 2009 - Present
Wachovia Securities, LLC 5 years, 11 months Jun 2003 - May 2009
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 12/06/2005
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 03/01/1984
Uniform Securities Agent State Law ExaminationSeries 63 12/07/1979
General Securities Representative ExaminationSeries 7 11/17/1979

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

High Net Worth Individuals
Business Development Companies
Other Investment Advisors
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
Insurance Companies

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

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.

Firm Compensation Arrangements

Types of Compensation Arrangements

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