Unclaimed Profile

James Sidney Carter

HORIZONS FINANCIAL GROUP, INC.·BIRMINGHAM, Alabama

SIE, Series 7, Series 24, Series 55, Series 63, Series 65Clean record17 years registeredHORIZONS FINANCIAL GROUP, INC.

3500 BLUE LAKE DRIVE, BIRMINGHAM, AL 35243-1971CRD# 1734997Firm CRD# 135432

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Sidney Carter · BIRMINGHAM, AL

Registration

CRD #1734997 · HORIZONS FINANCIAL GROUP, INC. · 17 years registered

Brand Profile

Not yet started

Career History

LPL FINANCIAL LLC

Mar 2020 – present

HORIZONS FINANCIAL GROUP, INC.

Dec 2010 – Mar 2020

BIRMINGHAM, AL

TRIAD ADVISORS, INC.

Apr 2009 – Oct 2010

BIRMINGHAM, AL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 55

Series 63

Series 65

Registration record

First registered · April 29, 2009

Years registered · 17

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HORIZONS FINANCIAL GROUP, INC.

CRD 135432 · SEC 801-69134

AUM

$10M

Regulatory assets under management

Employees

40 client accounts

Services offered by HORIZONS FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HORIZONS FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does James Sidney Carter offer?

James Sidney Carter specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BIRMINGHAM, Alabama for a consultation.

What are James Sidney Carter's credentials?

James Sidney Carter is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Sidney Carter located?

James Sidney Carter is based in BIRMINGHAM, Alabama, working with HORIZONS FINANCIAL GROUP, INC.. Their office serves clients in the BIRMINGHAM metropolitan area and surrounding communities.

How does James Sidney Carter charge for services?

James Sidney Carter's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HORIZONS FINANCIAL GROUP, INC.?

HORIZONS FINANCIAL GROUP, INC. has approximately 1 employees and manages $10M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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