Cynthia E. Carpentier
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.
Cynthia Elinor Carpentier, who also goes by Cindy Piscopo, Cynthia Elinor Piscopo, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 1992. Cynthia had worked at 5 firms and has passed the Series 63, SIE, Series 3 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
May 18, 2001 - November 28, 2017
BLOOMBERG TRADEBOOK LLC
May 12, 1998 - April 28, 2000
D.E. SHAW SECURITIES, L.L.C.
October 15, 1993 - April 24, 1998
ABEL/NOSER CORP.
June 28, 1993 - October 5, 1993
RBC CAPITAL MARKETS CORPORATION
October 11, 1992 - May 28, 1993
LABRANCHE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
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.
