James P. 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.
James Patrick Carpenter, who also goes by James P Carpenter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - January 20, 2016
ASSETMARK BROKERAGE, LLC
March 11, 2008 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
April 16, 2004 - October 24, 2006
CHARLES SCHWAB & CO., INC.
January 13, 2003 - August 5, 2003
TD AMERITRADE, INC.
August 28, 1995 - December 31, 2002
CHARLES SCHWAB & CO., INC.
June 23, 1994 - August 1, 1995
SUNAMERICA SECURITIES, INC.
August 23, 1990 - December 9, 1993
AMERICAN CENTURY INVESTMENT SERVICES INC.
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
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
