Clare O. Carpenter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clare Owen Carpenter was a registered financial professional .
Clare is a previously registered financial professional and started their career in finance in 1983. Clare had worked at 16 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2011 - June 20, 2013
OPPENHEIMER & CO. INC.
March 15, 2007 - October 11, 2011
CAROLINA CAPITAL MARKETS, INC.
January 8, 2001 - March 20, 2007
CAMBRIDGE GROUP INVESTMENTS, LTD.
February 18, 1998 - January 8, 2001
OROSEY & PEPE CAPITAL MARKETS, INC.
March 27, 1997 - November 26, 1997
LOP CAPITAL MARKETS, INC.
May 9, 1991 - April 2, 1997
LEHWALD, OROSEY & PEPE INCORPORATED
January 19, 1989 - November 27, 1989
MARCUS, STOWELL & BEYE, INC.
January 19, 1989 - November 27, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
May 12, 1988 - January 24, 1989
WESTCAP SECURITIES, L.P.
January 4, 1988 - June 2, 1988
FIRST STATE INVESTMENTS, INC.
July 30, 1986 - January 6, 1988
FIRST INVESTMENT SECURITIES, INC.
March 11, 1985 - August 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1984 - December 26, 1984
JW GENESIS CLEARING CORP.
April 19, 1984 - July 23, 1984
ARCH W. ROBERTS & CO.
November 19, 1983 - August 5, 1985
H. BURCKHARDT & COMPANY, INC.
March 23, 1983 - November 11, 1983
DONALD SHELDON & CO., INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
