Broker Check
James S. Carter, III, MBA

James S. Carter, III, MBA

Chief Compliance Officer

Jim came to work with Horizons in 2008 and focuses on conservative strategies for real-world clients.

Jim earned his degree in industrial engineering and operations research from Virginia Tech and his MBA from the Colgate Darden Graduate School of Business Administration at the University of Virginia. Following that, he went to work on the trading desk at Central Bank in Birmingham and then ran the taxable trading desk at Regions Investments for 14 years.

Jim is an avid recreational cyclist and enjoys putting his hands to work with Habitat for Humanity.


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:
Currently FINRA state registrations: AL, FL, GA, MS, NC