Richard K. 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.
Richard Kevin Carpenter, who also goes by Richard K Carpenter, Rick Carpenter, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2006 - December 2, 2009
ADVANCED GROUP FINANCIAL SERVICES
March 3, 1993 - May 6, 1997
1717 CAPITAL MANAGEMENT COMPANY
August 18, 1992 - December 2, 2013
OSAIC WEALTH, INC.
December 22, 1979 - August 31, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 22, 1979 - August 31, 1992
EQUITABLE ADVISORS, LLC
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
No current employment
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.
