Broker Check
James S. Carter, III, MBA

James S. Carter, III, MBA

Chief Compliance Officer

Educational Background

Virginia Polytechnic Institute and State University – BS Industrial Engineering and Operations Research, 1980
The Colgate Darden Graduate School of Business Administration at The University of Virginia – MBA, 1985

Investments Employment

Fixed Income Trader, Central Bank of the South; Birmingham, AL.
Taxable Trading Desk Manager and Fixed Income Trader, Hand Investment Company, later bought by Regions Investment Company, Inc.; Regions Bank; Birmingham, AL. Traded Governments, Agencies, Mortgage Securities, Money-Market Instruments, Preferred Stocks and Corporate Bonds.
Consultant for AEA, an accounting and auditing firm, on several public issue bond bankruptcy cases (plaintiff).
Expert Witness for the defense in a suit against a primary dealer and its registered representative in a public issue bond bankruptcy.
Principal, CCO Horizons Financial Group, Inc.; Birmingham, AL.

Registration & Licenses

Series 7 General Securities Registration
Series 24 Registered Principal Registration
Series 63 Uniform Securities Agent State Law Registration
Series 65 Uniform Investment Advisor Law Registration

No disciplinary actions have ever been taken against James S. Carter, III by FINRA. FINRA CRD# 1734997. You can view broker information here:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm
Currently FINRA state registrations: AL, FL, GA, MS, NC