James D. 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 D Carpenter, who also goes by James David Carpenter, Jim David Carpenter, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 15 firms and has passed the Series 65, 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
January 11, 2017 - May 26, 2017
PATRICK CAPITAL MARKETS, LLC
June 11, 2012 - November 11, 2016
SCHRODER FUND ADVISORS LLC
August 16, 2010 - January 19, 2012
GOLDMAN SACHS & CO. LLC
January 4, 2010 - August 3, 2010
ALLSPRING FUNDS MANAGEMENT, LLC
January 4, 2010 - August 3, 2010
ALLSPRING FUNDS DISTRIBUTOR, LLC
September 18, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
January 29, 2007 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 19, 2005 - January 3, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - January 3, 2007
FRANKLIN DISTRIBUTORS, LLC
May 13, 2004 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
May 13, 2004 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
October 4, 2001 - April 8, 2004
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 4, 2000 - November 8, 2001
BNY MELLON SECURITIES CORPORATION
August 20, 1999 - December 15, 1999
NATIONAL PLANNING CORPORATION
January 29, 1996 - August 20, 1999
BMA FINANCIAL SERVICES, INC.
January 5, 1996 - January 29, 1996
BMA FINANCIAL SERVICES, INC.
February 20, 1992 - December 31, 1995
TRANSAMERICA FINANCIAL ADVISORS, 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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
