Robert G. Carpenter

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

COLUMBIA, MD 21044

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CRD#: 1992563

Professional summary

Robert G Carpenter, who also goes by Robert Guy Carpenter, is a registered financial advisor currently at BALTIMORE-WASHINGTON FINANCIAL ADVISORS located in Columbia, Maryland.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Robert has worked at 12 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Guy 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) - RIA

Click below to view Robert G 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

July 25, 2012 - Present

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Office #1: 10960 Grantchester Way Suite 110, Columbia, MD 21044

RIA

CRD#: 159388

COLUMBIA, MD

Past

March 16, 2011 - July 27, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MONKTON, MD

Past

March 3, 2011 - July 27, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 2, 2007 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BALTIMORE, MD

Past

April 2, 2007 - November 1, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BALTIMORE, MD

Past

April 29, 2002 - April 3, 2007

RYAN BECK & CO.

CRD#: 3248

BALTIMORE, MD

Past

April 10, 2001 - April 3, 2007

RYAN BECK & CO.

RIA

CRD#: 3248

BALTIMORE, MD

Past

July 23, 1999 - May 13, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

March 21, 1998 - July 23, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

April 26, 1995 - November 24, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 25, 1994 - April 10, 1995

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

January 31, 1994 - July 21, 1994

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 13, 1993 - December 22, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 20, 1990 - December 22, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 7, 1989 - January 20, 1990

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

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".

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(7/25/2012)

IAR

Texas
(9/14/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/1/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/14/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 3/5/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 6/2/1994

General Securities Principal Examination

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

BALTIMORE-WASHINGTON FINANCIAL ADVISORS | BALTIMORE-WASHINGTON FINANCIAL ADVISORS, INC.

CRD#: 159388 / SEC#: 801-76893

RIA

Registered Investment Advisory firm - (6/29/2012 Approved)

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Contact information

Main Address

10960 Grantchester Way Suite 110, Columbia, MD 21044

Mailing Address

Phone number

(410) 461-3900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BWFA ADV PART 2 BROCHURE (10/24/2025)

Regulatory assets under management

Total Number of Accounts	4,975
AUM (Assets Under Management)	$ 2,828,296,993

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.

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Firm Stability Insights

Robert G. Carpenter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert G Carpenter's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RYAN BECK & CO.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

BNY MELLON SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

CITICORP INVESTMENT SERVICES

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/1/1999

Series 63

Date: 11/29/1989

Series 31

Date: 12/14/2009

Series 7

Date: 11/18/1989

Series 8

Date: 3/5/1996

Series 24

Date: 6/2/1994

Current Firm

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALTIMORE-WASHINGTON FINANCIAL ADVISORS

TRUST BUT VERIFY

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