William S. Carpenter

CENTAURUS FINANCIAL

BIRMINGHAM, AL 35242

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CRD#: 1157630

Professional summary

William Stewart Carpenter JR, who also goes by Bill Carpenter, William Stewart Carpenter, is a registered financial advisor currently at CENTAURUS FINANCIAL, INC. located in Birmingham, Alabama.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Bill Carpenter | William Stewart Carpenter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

EQUITRUST, NON-INVESTMENT RELATED, 4000 EAGLE POINT CORP. DIRVE, BIRMINGHAM, AL 35242, SALE OF FIXED INSURANCE AND/OR FIXED ANNUITIES, AGENT, SINCE 7/1/2013, DEVOTED TIME IS 3 HRS A MONTH, SALES. CARPENTER FINANCIAL SERVICES, NON-INVESTMENT RELATED, 4000 EAGLE POINT CORPORATE DR., BIRMINGHAM, AL 35242, DBA FOR BRANDING PURPOSES ONLY, OWNER, SINCE 1/2/2007. AGENT, WESTERN RESERVE LIFE, 4000 EAGLE POINT COPORATE DR., BIRMINGHAM, AL 35242. NON INVESTMENT RELATED SINCE 01/2005 AND I SPEND APPROX. ONE HOUR PER MONTH ON THIS ACTIVITY. FIXED & TERM LIFE INSURANCE SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Stewart Carpenter JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Stewart Carpenter JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 4, 2008 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 4000 Eagle Point Corporate Drive, Birmingham, AL 35242

RIA

CRD#: 30833

BIRMINGHAM, AL

Current

November 25, 2008 - Present

CENTAURUS FINANCIAL, INC.

Office #1: 4000 Eagle Point Corporate Drive, Birmingham, AL 35242

RIA

CRD#: 30833

BIRMINGHAM, AL

Past

January 19, 2005 - December 3, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

BIRMINGHAM, AL

Past

November 30, 2004 - December 3, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

BIRMINGHAM, AL

Past

September 29, 2003 - December 1, 2004

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ANAHEIM, CA

Past

January 10, 2002 - September 26, 2003

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

October 24, 1995 - June 28, 2000

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

Past

May 18, 1987 - May 23, 1995

UNIVERSAL SECURITIES CORPORATION

CRD#: 846

BIRMINGHAM, AL

Past

August 11, 1986 - May 27, 1987

STERNE, AGEE & LEACH, INC.

CRD#: 791

Past

November 21, 1984 - August 19, 1986

JOHNSON, LANE, SPACE, SMITH & CO., INC.

CRD#: 472

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/25/2008)

IAR

Alabama
(12/4/2008)

Arkansas
(1/12/2009)

Florida
(2/24/2009)

IAR

Florida
(1/13/2012)

Georgia
(2/18/2009)

IAR

Georgia
(2/14/2012)

Kentucky
(7/25/2014)

Louisiana
(9/22/2009)

IAR

Mississippi
(8/5/2019)

Mississippi
(10/30/2019)

Tennessee
(11/25/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 12/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 11/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 9/4/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2300 E. Katella Avenue Suite 200, Anaheim, CA 92806

Mailing Address

2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

Phone number

(714) 456-1790

Established

California since 08/27/1992

Firm type

Corporation

Fiscal year end

April

Firm Size

Large

# of Employees

571

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/28/2026)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/28/2026)

Direct owners and executive officers

Name	Position	CRD#
FEDERATION OF FINANCIAL SERVICES	OWNER
KREMER, STEPHEN MARK	OWNER	1188829
RUBINO, MICHAEL PETER	OWNER	1188940
DUHOVIC, JEROME VICTOR	CHIEF COMPLIANCE OFFICER	2123754
DUHOVIC, JEROME VICTOR	DIRECTOR/EVP	2123754
KING, JAMES RONALD SR	DIRECTOR/CHAIRMAN OF THE BOARD/CEO	269927
KING, PAUL J	DIRECTOR/GENERAL COUNSEL	5017845
KING, WESTLEY HAYES	DIRECTOR/PRESIDENT	2527676
LEJMAN, SHERI J	SVP/CFO/FINANCIAL AND OPERATIONS PRINCIPAL

Regulatory assets under management

Total Number of Accounts	45,336
AUM (Assets Under Management)	$ 9,740,127,253

Disclosures

Regulatory Event	19
Arbitration	8

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.

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Advisor Monitoring

Firm Stability Insights

William S. Carpenter

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Stewart Carpenter JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Stewart Carpenter JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CENTAURUS FINANCIAL, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

REGIONS INVESTMENT COMPANY, INC.

UNIVERSAL SECURITIES CORPORATION

STERNE, AGEE & LEACH, INC.

JOHNSON, LANE, SPACE, SMITH & CO., INC.

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Passed: 12/5/1984

SIE

Passed: 10/1/2018

Series 7

Passed: 11/17/1984

Series 24

Passed: 9/4/1990

FINRA

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

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