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Michael A. Carpenter

FIDELITY BROKERAGE SERVICES
SMITHFIELD, RI 02917
Some features on this profile are disabled
CRD#: 1563957
MC
Michael Alan CarpenterFIDELITY BROKERAGE SERVICES

Professional summary

Michael Alan Carpenter, who also goes by Michael Carpenter, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Aliases

Michael 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Alan Carpenter'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

August 14, 2026 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
SMITHFIELD, RI
Past

October 13, 2015 - May 15, 2026

TELSEY ADVISORY GROUP LLC

BD
CRD#: 148234
Novato, CA
Past

October 16, 2013 - September 29, 2015

DREXEL HAMILTON, LLC

BD
CRD#: 143570
SAN FRANCISCO, CA
Past

July 20, 2010 - August 5, 2013

BURRILL SECURITIES

BD
CRD#: 140221
SAN FRANCISCO, CA
Past

January 5, 2006 - July 1, 2010

SUMMER STREET RESEARCH PARTNERS

BD
CRD#: 127142
SAN FRANCISCO, CA
Past

January 13, 2004 - February 1, 2006

PACIFIC GROWTH EQUITIES, LLC

BD
CRD#: 24835
SAN FRANCISCO, CA
Past

April 17, 1998 - January 9, 2004

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 29, 1986 - July 18, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/2/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

Red Flags

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Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Smithfield, RI 02917

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