Michael J. Carpenter
LEXAURUM ADVISORS
Athens, OH 45701
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CRD#: 2435428
Professional summary
Michael Joe Carpenter, CFP® is a registered financial advisor currently at LEXAURUM ADVISORS located in Athens, Ohio and INTEGRITY ALLIANCE, LLC. located in Athens, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Education Planning
Tax Planning
Estate Planning
Insurance Planning
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. SOUTHEASTERN AGENCY/CORNERSTONE; PO BOX 226, ATHENS, OH 45701; ADVISOR REFERRING HEALTH INSURANCE LEADS; CORP; LIMITED HOURS SPENT ON THIS ACTIVITY/2 HOURS DURING TRADING. 2. THE ATHENS FOUNDATION; PO BOX 366, ATHENS, OH 45701; COMMITTEE MEMBER; NON-PROFIT 501C-3; LIMITED HOURS SPENT ON THIS ACTIVITY/0 DURING TRADING. 3. HABITAT FOR HUMANITY; 525 W UNION STREET, ATHENS, OH; BOARD MEMBER AND FUND RAISING MEMBER; CORP; LIMITED HOURS SPENT ON THIS ACTIVITY/0 DURING TRADING. 4. UNUM PROVIDENT; 2211 CONGRESS STREET, PORTLAND, ME; INSURANCE SALES - LTC INSURANCE, ANNUITIES, FIXED INDEXED ANNUITIES, LIFE DI; CORP; 2 HOURS SPENT ON THIS ACTIVITY/ALL DURING TRADING. 5. CARPENTER & ASSOCIATES FINANCIAL AND ADVISORY SERVICES, LLC.; 92 N COURT, STE 101, ATHENS, OH; PRESIDENT; SECURITIES/INVESTMENTS/FINANCIAL PLANNING; LLC; 160 HOURS PER MONTH SPENT ON THIS ACTIVITY/ALL DURING TRADING HOURS. 6. CARPENTER & ASSOCIATES; INVESTMENT RELATED; 92 N COURT, STE 101, ATHENS, OH; PRINCIPAL/OWNER; SECURITIES/INVESTMENTS/FINANCIAL PLANNING; DBA FOR CARPENTER & ASSOCIATES FINANCIAL AND ADVISORY SERVICES; LLC; 160 HOURS PER MONTH SPENT ON THIS ACTIVITY/ALL DURING TRADING. 7. LEXAURUM ADVISORS; INVESTMENT RELATED; 6731 W 121ST STREET, OVERLAND PARK, KS; INVESTMENT ADVISOR REP - FINANCIAL PLANNING AND INVESTMENT ADVISORY SERVICES; 160 HOURS PER MONTH SPENT ON THIS ACTIVITY/ALL DURING TRADING HOURS. 8. OHIO UNIVERSITY ALUMNI BAND SOCIETY; NOT INVESTMENT RELATED; 52 UNIVERSITY TERRACE, ATHENS, OH; NON PROFIT 501C-3; LIMITED HOURS SPENT ON THIS ACTIVITY/0 DURING TRADING. 9. OHIO UNIVERSITY COLLEGE OF BUSINESS; NOT INVESTMENT RELATED; 169 W. UNION ST., ATHENS, OH; EDUCATION; ADJUNCT INSTRUCTOR; STARTED 1/1/2022; 20 HOURS PER MONTH WITH NONE DURING TRADING HOURS; TEACH A SENIOR LEVEL FINANCIAL PLANNING CLASS FOR POTENTIAL CFP CANDIDATES AND STUDNETS MAJORING IN FINANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joe Carpenter'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®
CFP®
Start date: 2006
Experience
Current
June 23, 2016 - Present
LEXAURUM ADVISORS
Office #1: 92 N. Court Street, Suite 101, Athens, OH 45701RIA
CRD#: 283653
Athens, OH
Current
September 11, 2018 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 92 N Court St Suite 101, Athens, OH 45701RIA
BD
CRD#: 139627
Athens, OH
Past
June 23, 2016 - September 12, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
ATHENS, OH
Past
August 19, 2009 - June 23, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
ATHENS, OH
Past
August 19, 2009 - June 23, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
ATHENS, OH
Past
January 24, 2002 - August 19, 2009
MUTUAL SERVICE CORPORATION
RIA
CRD#: 4806
ATHENS, OH
Past
August 24, 1994 - August 19, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
ATHENS, OH
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".
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP
CRD#: 283653 / SEC#: 801-107738
RIA
Registered Investment Advisory firm - (5/10/2016 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(9/11/2018)
RR
Colorado(9/11/2018)
RR
District of Columbia(9/11/2018)
RR
Maine(1/24/2023)
RR
Michigan(9/11/2018)
RR
New York(9/11/2018)
RR
North Carolina(9/11/2018)
IAR
Ohio(6/23/2016)
RR
Ohio(9/11/2018)
RR
Oregon(9/11/2018)
IAR
Texas(8/1/2016)
RR
Texas(9/11/2018)
RR
Virginia(9/11/2018)
RR
Washington(9/11/2018)
RR
West Virginia(9/11/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP
CRD#: 283653 / SEC#: 801-107738
RIA
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Contact information
Main Address
16010 Metcalf Avenue, Suite 101, Overland Park, KS 66085
Mailing Address
Phone number
(913) 261-9316
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,641 |
| AUM (Assets Under Management) | $ 1,006,435,215 |
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.
Company Information
LEXAURUM ADVISORS
CRD#: 283653Athens, OH 45701TRUST BUT VERIFY
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Contact information
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