Carolyn J. Carpenter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carolyn Jean Carpenter, who also goes by Carolyn Jean Carpenter, Carrie Jean Carpenter, Carolyn Jean Dreyer, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1999. Carolyn had worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2021 - March 8, 2023
PAULSON INVESTMENT ADVISORS, LLC
October 12, 2019 - December 10, 2020
PAULSON INVESTMENT COMPANY LLC
October 12, 2019 - November 2, 2023
PAULSON INVESTMENT COMPANY LLC
July 1, 2015 - October 16, 2019
NBC SECURITIES, INC.
July 1, 2015 - October 16, 2019
NBC SECURITIES, INC.
May 11, 2012 - June 30, 2015
JHS CAPITAL ADVISORS, LLC
May 11, 2012 - June 30, 2015
JHS CAPITAL ADVISORS, LLC
September 24, 2010 - April 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1999 - April 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PAULSON INVESTMENT ADVISORS, LLC
CRD#: 304328 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 580,312 |
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.
