Samuel G. Carpenter
CETERA INVESTMENT ADVISERS LLC
JOHNSTOWN, PA 15901
Some features on this profile are disabled
CRD#: 1713435
Professional summary
Samuel Gerard Carpenter, CFP®, who also goes by Samuel Gerard Carpenter, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Johnstown, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Johnstown, Pennsylvania.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Samuel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Income Management
Social Security Planning
Comprehensive Financial Planni...
Estate Planning
Elder Care
Investment Planning
Retirement Planning
Insurance Planning
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Samuel Gerard 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.
1) Minnesota Life Insurance Company~400 Robert Street North~St. Paul~MN~55101-2098~Independent Insurance Agent~Financial Advisor/Consultant~12/12/2014~1hrs~1hrs~To provide life insurance 2) Carpenter Financial Services Inc~237 Johns Street, Suite 3~Johnstown~PA~15901~Other~Other~10/7/2014~160hrs~150hrs~Operational and/or Marketing Name for HD Vest Services 3) Cincinnati Life~PO BOx 145496~Cincinnati~OH~45250~Independent Insurance Agent~Insurance Sales Agent~9/1/2011~1hrs~1hrs~Term insurance 4) National Guardian Life~2 East Gilman Street, PO Box 1031~Madison~WI~53701~Independent Insurance Agent~Insurance Sales Agent~8/10/2011~1hrs~1hrs~Funeral Life Insurance Trust 5) Greater Beneficial Union of Pittsburgh~4254 Clariton Blvd.~Pittsburgh~PA~15227~Independent Insurance Agent~Insurance Sales Agent~5/13/2011~2hrs~2hrs~Offer fixed annuity products. 6) Carpenter Financial~237 Johns Street, Suite 3~Johnstown~PA~15901~Real Estate/Mortgage/Title Services/Appraisal~Partner/General Partner~2/1/2004~0hrs~hrs~mortgage 7) Samuel G. & Patricia S. Carpenter~237 Johns Street, Suite 3~Johnstown~PA~15901~Real Estate/Mortgage/Title Services/Appraisal~Owner/Sole Proprietor~7/1/2006~5hrs~1hrs~manage the property 8) ISDA Fraternal Association~419 Wood Street~Pittsburgh~PA~15222-1825~Insurance Agent~Agent~7/23/2018~1hrs~1hrs~Offering clients life insurance and deferred/fixed annuities through ISDA 9) WESTVIEW CENTER LLC; POSITION: Partner NATURE: Office building at 237 Johns Street Johnstown, PA; Acquired 1/1/2020; Pay office expenses, collect rent, maintain building INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020; ADDRESS: 237 Johns Street, Suite 3, Johnstown PA 15901; Collect rent, pay bills, maintain building; Acquired building from my mother. This is is office building that houses the office.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Gerard 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®
CFP®
Start date: 1987
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 237 Johns Street Suite 3, Johnstown, PA 15901RIA
CRD#: 105644
JOHNSTOWN, PA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 237 Johns Street Ste 3, Johnstown, PA 15901BD
CRD#: 13572
JOHNSTOWN, PA
Past
August 9, 2000 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Johnstown, PA
Past
April 13, 2000 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
JOHNSTOWN, PA
Past
November 15, 1990 - April 19, 2000
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
September 24, 1987 - November 15, 1990
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Maryland(9/5/2025)
RR
Missouri(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Pennsylvania(9/5/2025)
IAR
Pennsylvania(9/5/2025)
RR
South Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
West Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Johnstown, PA 15901TRUST BUT VERIFY
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Contact information
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