Kraig L. Carpenter
Professional summary
Kraig Lee Carpenter is a registered financial advisor currently at EL CAMINO REAL FINANCIAL ADVISORS located in Santa Teresa, New Mexico.
Kraig is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kraig has worked at 5 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kraig Lee Carpenter's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2015 - Present
EL CAMINO REAL FINANCIAL ADVISORS
January 27, 2011 - December 31, 2014
EL CAMINO REAL FINANCIAL ADVISORS
April 16, 2009 - April 19, 2011
OSAIC SERVICES, INC.
April 2, 2009 - April 19, 2011
OSAIC SERVICES, INC.
November 9, 2001 - November 19, 2004
SENTRA SECURITIES CORPORATION
November 13, 1996 - December 31, 1997
SENTRA SECURITIES CORPORATION
January 3, 1992 - November 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1991 - October 17, 1991
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/15/2015)
(7/20/2023)
(10/1/2015)
Exams
Current Firm
EL CAMINO REAL FINANCIAL ADVISORS
CRD#: 155883 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 866,500 |
Red Flags
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