JC
Julie C. Carpenter
COKER & PALMER
Jackson, MS 39216
Some features on this profile are disabled
CRD#: 1217183
JC
Professional summary
Julie Coopwood Carpenter is a registered financial advisor currently at COKER & PALMER located in Jackson, Mississippi.
Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Julie has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Julie Coopwood Carpenter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julie Coopwood Carpenter'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
April 17, 2009 - Present
COKER & PALMER
Office #1: 1667 Lelia Dr, Jackson, MS 39216Office #2: 1667 Lelia Drive, Jackson, MS 39216RIA
BD
CRD#: 29163
Jackson, MS
Current
April 17, 2009 - Present
COKER & PALMER
Office #1: 1667 Lelia Dr, Jackson, MS 39216Office #2: 1667 Lelia Drive, Jackson, MS 39216RIA
BD
CRD#: 29163
Jackson, MS
Past
October 2, 2007 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
JACKSON, MS
Past
February 21, 2006 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
JACKSON, MS
Past
March 8, 1999 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
January 25, 1984 - March 10, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
C&
COKER & PALMER
COKER & COMPANY, INC. | CPI RESEARCH | COKER, PALMER, PHILLIPS & MULLEN, INC. | COKER PALMER PHILLIPS & MULLEN | COKER & PALMER, INC. | COKER & PALMER, INC | COKER & PALMER INVESTMENT SECURITIES | COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
RIA
Registered Investment Advisory firm - SEC (2/25/2013 Approved)Alabama
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/14/2014 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/8/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans 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(11/6/2012)
RR
California(1/17/2017)
RR
District of Columbia(1/17/2017)
RR
Florida(11/6/2012)
RR
Georgia(11/6/2012)
RR
Illinois(11/28/2023)
RR
Louisiana(3/22/2018)
RR
Maryland(7/30/2025)
RR
Mississippi(4/17/2009)
IAR
Mississippi(4/17/2009)
RR
New York(3/22/2018)
RR
North Carolina(11/6/2012)
RR
Oregon(6/30/2017)
RR
Tennessee(11/6/2012)
RR
Texas(11/6/2012)
RR
Virginia(11/6/2012)
RR
Wisconsin(11/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
C&
COKER & PALMER
COKER & COMPANY, INC. | CPI RESEARCH | COKER, PALMER, PHILLIPS & MULLEN, INC. | COKER PALMER PHILLIPS & MULLEN | COKER & PALMER, INC. | COKER & PALMER, INC | COKER & PALMER INVESTMENT SECURITIES | COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
RIA
Registered Investment Advisory firm - SEC (2/25/2013 Approved)Alabama
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)Louisiana
Registered Investment Advisory firm - SEC (10/14/2014 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/8/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1667 Lelia Drive, Jackson, MS 39216
Mailing Address
1667 Lelia Drive, Jackson, MS 39216
Phone number
(601) 354-0860
Established
Mississippi since 07/08/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13
SEC notice filing (10 States and Territories)
FINRA licenses (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 244,065,071 |
Disclosures
| Regulatory Event | 7 |
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
COKER & PALMER
CRD#: 29163Jackson, MS 39216TRUST BUT VERIFY
Monitor Julie Carpenter
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
