EC
Edward T. Carpenter
UNION CAPITAL COMPANY
Lake Placid, FL
CRD#: 2172969
EC
Professional summary
Edward Thomas Carpenter, who also goes by Ed Carpenter, Edward T Carpenter, Edward Thomas Carpenter, Edward Carpenter, is a registered financial advisor currently at UNION CAPITAL COMPANY located in Lake Placid, Florida.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Edward has worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
What makes you the best choice for clients?
As a Manager of Financial Advisors, and a nationwide Compliance Officer, I hold to the standard of meeting you the client where you are in risk tolerance with compassion, and treat your finances as if they were my own.
Are you a "fiduciary"?
Yes
Aliases
Ed Carpenter | Edward T Carpenter | Edward Thomas Carpenter | Edward 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.
1. Humana - Sales. Medicare Insurance 15hrs per week during securities trading hours. Non-Investment related activity - 1099 received. 2. Money Benefit, PLLC - Insurance & Fixed Annuities. Own Business. 0 hrs per week. Investment related activity. 1099 received. Not during securities trading hours. 3. Final Expense Plus, PLLC - Insurance & Fixed Annuities. Own Business. 0 hrs per week. Investment related activity. 1099 received. Not during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Thomas Carpenter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Thomas Carpenter's 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®
NoneExperience
Current
April 19, 2017 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Lake Placid, FL
Current
April 6, 2017 - Present
UNION CAPITAL COMPANY
Office #1: 6083 E. Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
March 6, 2017 - April 7, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
TUCSON, AZ
Past
January 4, 2016 - June 3, 2016
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Tucson, AZ
Past
May 4, 2015 - June 3, 2016
BBVA SECURITIES INC.
BD
CRD#: 27060
TUCSON, AZ
Past
May 6, 2014 - December 31, 2014
PARSONEX SECURITIES, INC.
BD
CRD#: 144412
ENGLEWOOD, CO
Past
May 10, 2011 - May 9, 2012
UNION CAPITAL COMPANY
BD
CRD#: 110301
TUCSON, AZ
Past
October 30, 2009 - March 1, 2010
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
TUCSON, AZ
Past
September 24, 2007 - December 22, 2008
UNION CAPITAL COMPANY
BD
CRD#: 110301
TUCSON, AZ
Past
February 22, 2007 - May 25, 2007
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
TUCSON, AZ
Past
July 19, 2006 - February 2, 2007
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past
May 6, 2004 - July 16, 2004
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
May 6, 2004 - July 16, 2004
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
May 6, 2004 - July 16, 2004
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
April 17, 2003 - October 16, 2003
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
March 5, 2003 - March 24, 2003
ASH SECURITIES WHOLESALING, INC.
BD
CRD#: 37454
FORT WAYNE, IN
Past
October 4, 2002 - January 14, 2003
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 2, 2001 - July 23, 2002
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
October 6, 2000 - April 27, 2001
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
March 11, 1998 - September 6, 2000
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
April 30, 1997 - February 6, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 18, 1996 - March 20, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 12, 1991 - April 30, 1996
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/6/2017)
IAR
Arizona(4/19/2017)
RR
Connecticut(2/9/2024)
RR
Florida(6/10/2021)
RR
Idaho(1/23/2025)
RR
New Mexico(6/1/2018)
IAR
New Mexico(2/15/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
6083 E. Grant Road, Tucson, AZ 85712
Mailing Address
6083 E. Grant Road, Tucson, AZ 85712
Phone number
(520) 664-2001
Established
Arizona since 12/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
