Kenneth R. 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.
Kenneth Robert Carpenter Jr., who also goes by Ken Carpentar, Ken Carpenter, Kenneth Robert Carpenter Jr., Kenneth Robert Carpenter, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 8 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2022 - June 6, 2022
PASSCO CAPITAL, INC.
October 6, 2015 - May 4, 2020
CANTOR FITZGERALD & CO.
July 5, 2011 - October 6, 2011
PIERPONT CAPITAL ADVISORS LLC
July 28, 2009 - October 5, 2010
DEUTSCHE BANK SECURITIES INC.
July 1, 2003 - June 10, 2009
WELLS FARGO SECURITIES, LLC
September 28, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 9, 1992 - May 15, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 9, 1992 - May 15, 1997
EQUITABLE ADVISORS, 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
Series 99TO
Date: 1/8/2024
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
PASSCO CAPITAL, INC.
CRD#: 117323 / SEC#: , 8-53591
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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