TC
Timothy A. Carpenter
BILTMORE WEALTH MANAGEMENT
Tempe, AZ 85282
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CRD#: 1263145
TC
Professional summary
Timothy Alan Carpenter is a registered financial advisor currently at BILTMORE WEALTH MANAGEMENT, LLC located in Tempe, Arizona.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Timothy has worked at 5 firms and has passed the Series 65, Series 63, Series 3 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.
AVION DE CINCO, 516 E MEADOW LANE, PHOENIX AZ 85022. ZERO HOURS SPENT DURING TRADING HOURS. AFFILIATION AS OF 1996 FOR PURPOSE OF PART OWNERSHIP OF AIRPLANE.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Alan 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
March 3, 2010 - Present
BILTMORE WEALTH MANAGEMENT, LLC
Office #1: 1400 E. Southern Avenue Suite 650, Tempe, AZ 85282RIA
CRD#: 151365
Tempe, AZ
Past
June 1, 2009 - January 28, 2010
MORGAN STANLEY
BD
CRD#: 149777
PHOENIX, AZ
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PHOENIX, AZ
Past
April 19, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 25, 1984 - March 29, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
BW
BILTMORE WEALTH MANAGEMENT, LLC
APOLLO DESIGNS, LLC | BILTMORE WEALTH MANAGEMENT, LLC
CRD#: 151365 / SEC#: 801-81007
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Arizona
Registered Investment Advisory firm - (2/26/2015 Terminated)California
Registered Investment Advisory firm - (3/27/2015 Terminated)Florida
Registered Investment Advisory firm - (2/26/2015 Terminated)New York
Registered Investment Advisory firm - (2/26/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (2/25/2015 Terminated)Texas
Registered Investment Advisory firm - (2/26/2015 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arizona(3/3/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BW
BILTMORE WEALTH MANAGEMENT, LLC
APOLLO DESIGNS, LLC | BILTMORE WEALTH MANAGEMENT, LLC
CRD#: 151365 / SEC#: 801-81007
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Arizona
Registered Investment Advisory firm - (2/26/2015 Terminated)California
Registered Investment Advisory firm - (3/27/2015 Terminated)Florida
Registered Investment Advisory firm - (2/26/2015 Terminated)New York
Registered Investment Advisory firm - (2/26/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (2/25/2015 Terminated)Texas
Registered Investment Advisory firm - (2/26/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 E. Southern Avenue Suite 650, Tempe, AZ 85282
Mailing Address
Phone number
(480) 998-1819
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 396,736,147 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
