Donald B. 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.
Donald Blake Carpenter, who also goes by Blake Carpenter, D Blake Carpenter, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1991. Donald had worked at 10 firms and has passed the 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
August 6, 2002 - June 2, 2017
IMS SECURITIES, INC.
July 12, 2002 - August 19, 2002
EMPIRE FINANCIAL GROUP, INC.
January 17, 2001 - August 14, 2002
RUSHMORE SECURITIES CORPORATION
July 2, 1998 - February 26, 2001
NORTHSTAR SECURITIES, INC.
February 22, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
December 12, 1994 - February 22, 1996
BLUEBONNET SECURITIES, INC.
January 12, 1993 - December 20, 1994
IFG NETWORK SECURITIES, INC.
April 30, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
January 24, 1991 - March 18, 1992
IDS LIFE INSURANCE COMPANY
January 24, 1991 - March 18, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
