Anthony C. Carpita

UNITED CAPITAL FINANCIAL ADVISORS

BETTENDORF, IA 52722

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CRD#: 2352193

Professional summary

Anthony C Carpita, CFP®, who also goes by Anthony Carmen Carpita, Tony Carpita, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Bettendorf, Iowa and INTEGRITY ALLIANCE, LLC. located in Bettendorf, Iowa.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Anthony has worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Carmen Carpita | Tony Carpita

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony C Carpita's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

March 29, 2019 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 1523 Grant St Ste 402, Bettendorf, IA 52722

RIA

CRD#: 134600

BETTENDORF, IA

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 1523 Grant Street Suite 402, Bettendorf, IA 52722

RIA

CRD#: 139627

Bettendorf, IA

Past

February 9, 2024 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Bettendorf, IA

Past

July 1, 2023 - November 16, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

CHICAGO, IL

Past

March 9, 2023 - April 5, 2023

GOLDMAN SACHS & CO. LLC

RIA

CRD#: 361

CHICAGO, IL

Past

April 17, 2012 - March 29, 2019

IRONGATE INTERNATIONAL, L.L.C.

RIA

CRD#: 119818

MOLINE, IL

Past

July 20, 2001 - April 17, 2012

CHOREO, LLC

RIA

CRD#: 111221

DAVENPORT, IA

Past

June 20, 2001 - April 17, 2012

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

DAVENPORT, IA

Past

March 24, 1995 - June 6, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

August 12, 1993 - March 29, 1995

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

June 21, 1993 - August 23, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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.

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

IAR

Illinois
(3/29/2019)

Illinois
(11/3/2025)

IAR

Iowa
(3/29/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/1/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/24/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Anthony C. Carpita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony C Carpita's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

LION STREET FINANCIAL, LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

IRONGATE INTERNATIONAL, L.L.C.

CHOREO, LLC

BIRCHTREE FINANCIAL SERVICES LLC

A. G. EDWARDS & SONS, INC.

RODMAN & RENSHAW INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/2023

Series 7TO

Date: 6/30/2023

SIE

Date: 3/24/2023

Series 7

Date: 6/18/1993

FINRA

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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