Mark E. 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.
Mark Ellis Carpenter was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 5 firms and has passed the Series 63 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
November 10, 2000 - March 14, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
November 25, 1998 - November 20, 2000
JOSEPH CHARLES & ASSOC., INC.
November 3, 1997 - October 30, 1998
WESTAMERICA INVESTMENT GROUP
September 10, 1994 - October 23, 1997
WELLS FARGO CLEARING SERVICES, LLC
July 19, 1993 - September 8, 1994
NORCROSS & COMPANY
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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
