John E. Chapman
Chief Executive Officer
Hoffman Estates, IL – Clearwater Capital Partners is pleased to announce that Carter King, Retirement Plan Consultant, has successfully passed the Series 65 Uniform Investment Adviser Law Examination. This significant milestone qualifies Carter to serve as an investment adviser representative and represents an important step forward in his professional development, further strengthening his ability to contribute to Clearwater Capital’s tradition of client service excellence.
In his role as a Retirement Plan Consultant, Carter supports the Institutional Advisory Services Team and Financial Advisors by managing day-to-day operations for both current and prospective institutional clients. He is responsible for maintaining and overseeing a portfolio of Qualified and Non-Qualified plans while addressing participant inquiries and ensuring a seamless client experience.
The Series 65 Examination, administered by the Financial Industry Regulatory Authority (FINRA), is a comprehensive assessment covering key areas of fiduciary investment advising, including:
- Laws, regulations, and ethical business practices
- Portfolio management strategies, asset allocation, and investment vehicles
- Core financial and economic concepts related to personalized financial planning
Carter’s accomplishment reflects his commitment to professional growth and fiduciary excellence. It also highlights Clearwater Capital Partners’ continued dedication to developing skilled professionals who deliver thoughtful, informed guidance to clients.
About the Series 65 Examination
The Series 65 Uniform Investment Adviser Law Examination qualifies individuals to act as investment adviser representatives. The exam ensures that candidates possess a thorough understanding of investment principles, laws, and regulations governing fiduciary advisory services. Recognized nationwide, the Series 65 serves as a key benchmark for advisory readiness.
About Clearwater Capital Partners
Clearwater Capital Partners is a privately held, independent Registered Investment Advisor (RIA). The firm provides Multi-Family Office and comprehensive wealth management services to successful individuals and families through their Private Wealth Management practice. The firm’s Institutional group offers a suite of professional services to businesses, non-profit organizations, foundations, and ERISA-governed retirement plans. https://www.ccpwealth.com/
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