WC
William S. Carpenter
CENTAURUS FINANCIAL
Birmingham, AL 35242
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CRD#: 1157630
WC
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.
Question & Answer
Are you a "fiduciary"?
Yes
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.
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
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 4, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4000 Eagle Point Corporate Drive, Birmingham, AL 35242RIA
BD
CRD#: 30833
Birmingham, AL
Current
November 25, 2008 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 4000 Eagle Point Corporate Drive, Birmingham, AL 35242RIA
BD
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
BD
CRD#: 16164
BIRMINGHAM, AL
Past
September 29, 2003 - December 1, 2004
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
ANAHEIM, CA
Past
January 10, 2002 - September 26, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
October 24, 1995 - June 28, 2000
REGIONS INVESTMENT COMPANY, INC.
BD
CRD#: 17618
BIRMINGHAM, AL
Past
May 18, 1987 - May 23, 1995
UNIVERSAL SECURITIES CORPORATION
BD
CRD#: 846
BIRMINGHAM, AL
Past
August 11, 1986 - May 27, 1987
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
Past
November 21, 1984 - August 19, 1986
JOHNSON, LANE, SPACE, SMITH & CO., INC.
BD
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".
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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.RR
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
RR
Alabama(11/25/2008)
IAR
Alabama(12/4/2008)
RR
Arkansas(1/12/2009)
RR
Florida(2/24/2009)
IAR
Florida(1/13/2012)
RR
Georgia(2/18/2009)
IAR
Georgia(2/14/2012)
RR
Kentucky(7/25/2014)
RR
Louisiana(9/22/2009)
IAR
Mississippi(8/5/2019)
RR
Mississippi(10/30/2019)
RR
Tennessee(11/25/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CENTAURUS FINANCIAL, INC.
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
RIA
Registered Investment Advisory firm - SEC (10/8/1999 Approved)BD
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
580
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
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 | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 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 | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| 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.
Company Information
CENTAURUS FINANCIAL, INC.
CRD#: 30833Birmingham, AL 35242TRUST BUT VERIFY
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