CARTER CAPITAL MANAGEMENT, INC.
FORT LAUDERDALE, FLORIDA

Marilyn (Lynn) Carter, Founder of Carter Capital Management, oversees daily operations for the company including investment strategy, and trading activity support. She also drives the high standards of personal service and communications to ensure client satisfaction. A graduate of Capital University, Lynn earned a bachelor’s degree in economics and business administration. She holds her general securities (Series 7) and The Uniform Securities Agent State Law Examination (Series 63) and the Uniform Investment Adviser Law Examination (Series 65) as well as licenses to sell insurance and annuity products in the state of Ohio. That’s why you need capital management advisors that have handled billions of dollars in assets like the founder of Carter Capital Management. Whether you are looking for short-term or long-term investment strategies, Carter Capital Management offers a variety of options to improve your business’ liquidity while taking into account risk variables. Carter Capital Management has many years experience with corporate cash management, investment planning and strategy, tax reduction and other financial management options. The institutional strategies we used to help large organizations and large public funds, which generated record revenues and savings of over 15 billion dollars, can be utilized for your organization. Our clearing firm, RBC Correspondent Services, is a division of RBC Capital Markets, LLC. RBC Capital Markets, LLC, is a member of the Securities Investor Protection Corporation (SIPC). SIPC is a nonprofit membership corporation funded by its member security broker-dealers. SIPC protects the securities clients of its members in the event of the failure of a member firm. SIPC reimburses clients the cash value of their securities up to $500,000 per client. Any cash in a client’s account would be reimbursed by SIPC up to $250,000 (reducing the $500,000 above). RBC Capital Markets, LLC, has purchased an additional policy that offers coverage in excess of the protection provided by SIPC. This coverage covers additional securities and cash protection up to $99.5 million per client, of which $900,000 may be in cash. A $400 million aggregate limit applies to this additional coverage. RBC Capital Markets, LLC, also offers protection if a client’s securities are missing because of theft by an outsider, computer fraud or theft by an employee for personal gain. In such cases, the firm’s CAN $310 million Financial Institution Bond coverage would cover the client’s losses, subject to that policy’s terms, conditions and limits. We will give you a guide to help you stay on track to meet your goals through intelligent financial solutions, in-depth analysis of your investments… How we help individuals Our products and services are designed especially for small or midsized businesses. If you are a business owner we can help you and your employees with financial solutions for short and long-term growth. DBA Carter Capital Management, Marilyn Carter is a Registered Representative of and offers securities through Regal Securities, Inc., member FINRA/SIPC. Advisory Services offered through Regal Advisory Services, Inc. Carter Capital Management is not affiliated with Regal Securities, Inc. or Regal Advisory Services, Inc.