JC
Joseph L. Carpenter
KESTRA ADVISORY SERVICES
Franklin, TN 37067
Some features on this profile are disabled
CRD#: 2361166
JC
Professional summary
Joseph Lee Carpenter JR, who also goes by Joe Carpenter, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Franklin, Tennessee and KESTRA INVESTMENT SERVICES, LLC located in Franklin, Tennessee.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe 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.
Business Name: NFP Executive Benefits Investment Related: Yes Address: 100 Westwood Place Suite 440 Brentwood TN 37027 Nature of Business: Consulting; Insurance; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Employee, President of NFP Executive Benefits Start Date: 1/1/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: CEO of operation Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 08/04/1997 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Business Name: WEALTHSPIRE TRUST COMPANY POSITION: Director NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2024 ADDRESS: 2555 Meridian Blvd, suite 190, Franklin TN 37067 DESCRIPTION: Director; serve on Audit Committee
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Lee Carpenter JR'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 26, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 2555 Meridan Blvd, Franklin, TN 37067RIA
CRD#: 283330
Franklin, TN
Current
August 5, 1997 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2555 Meridian Blvd Suite 190, Franklin, TN 37067BD
CRD#: 42046
Franklin, TN
Past
January 7, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BRENTWOOD, TN
Past
June 8, 1993 - August 12, 1997
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Alabama(9/19/2000)
RR
Arizona(4/12/2002)
RR
Arkansas(8/14/2000)
RR
California(4/12/2002)
RR
Colorado(4/12/2002)
RR
Connecticut(2/22/2002)
RR
Delaware(5/31/2001)
RR
District of Columbia(4/12/2002)
RR
Florida(4/12/2002)
RR
Georgia(2/22/2002)
RR
Idaho(4/11/2001)
RR
Illinois(8/14/2000)
RR
Indiana(8/14/2000)
RR
Iowa(4/12/2002)
RR
Kansas(4/12/2002)
RR
Kentucky(4/12/2002)
RR
Louisiana(9/20/2000)
RR
Maine(3/14/2001)
RR
Maryland(8/14/2000)
RR
Massachusetts(4/12/2002)
RR
Michigan(10/26/2001)
RR
Minnesota(4/12/2001)
RR
Mississippi(8/16/2000)
RR
Missouri(4/15/2002)
RR
Montana(8/14/2000)
RR
Nebraska(4/12/2002)
RR
Nevada(4/11/2001)
RR
New Hampshire(4/16/2001)
RR
New Jersey(4/12/2002)
RR
New Mexico(4/16/2001)
RR
New York(3/6/2002)
RR
North Carolina(4/15/2002)
RR
North Dakota(5/3/2001)
RR
Ohio(8/15/2000)
RR
Oklahoma(4/11/2001)
RR
Oregon(4/12/2002)
RR
Pennsylvania(8/14/2000)
RR
Rhode Island(4/12/2002)
RR
South Carolina(3/6/2002)
RR
South Dakota(5/3/2001)
RR
Tennessee(8/5/1997)
IAR
Tennessee(4/26/2016)
RR
Texas(6/14/1999)
RR
Utah(4/12/2002)
RR
Vermont(4/15/2002)
RR
Virginia(4/11/2001)
RR
Washington(5/3/2001)
RR
West Virginia(4/12/2002)
RR
Wisconsin(3/20/2002)
RR
Wyoming(4/12/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
