Michael W. 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.
Michael Wayne Carpenter was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2017 - January 2, 2018
QUESTAR ASSET MANAGEMENT, INC.
January 3, 2011 - December 31, 2016
CETERA ADVISORS LLC
December 17, 2010 - December 31, 2016
CETERA ADVISORS LLC
October 8, 2009 - December 20, 2010
KESTRA INVESTMENT SERVICES, LLC
January 23, 2003 - December 20, 2010
KESTRA INVESTMENT SERVICES, LLC
February 18, 1988 - January 28, 2003
NEW ENGLAND SECURITIES
August 20, 1987 - February 24, 1988
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
Red Flags
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