DC
Darron L. Carpenter
CITIZENS SECURITIES
Philadelphia, PA 19139
Some features on this profile are disabled
CRD#: 2610065
DC
Professional summary
Darron Lamont Carpenter, who also goes by Darron L Carpenter, Darron Carpenter, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Philadelphia, Pennsylvania.
Darron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Darron has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 87 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darron L Carpenter | Darron 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Darron Lamont Carpenter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darron Lamont 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®
NoneExperience
Current
August 17, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 5129 Market Street 19b-0110, Philadelphia, PA 19139Office #2: 15 W City Avenue Ms: 19b-0066, Bala Cynwyd, PA 19004Office #3: 6052 Ridge Ave Mailstop: 19b-6732, Philadelphia, PA 19128Office #4: 4949 N Broad St Ms: 19b-0108, Philadelphia, PA 19141Office #5: 5607 Vine St Mailstop: 19b-0031, Philadelphia, PA 19139Office #6: 3711 Germantown Ave. Mailstop: 19b-0047, Philadelphia, PA 19140Office #7: 6324 Stenton Avenue Ms: 19b-0045, Philadelphia, PA 19138Office #8: 11th St. & Lehigh Ave. Mailstop: 19b-0107, Philadelphia, PA 19133RIA
BD
CRD#: 39550
Philadelphia, PA
Current
August 17, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 5129 Market Street 19b-0110, Philadelphia, PA 19139Office #2: 15 W City Avenue Ms: 19b-0066, Bala Cynwyd, PA 19004Office #3: 6052 Ridge Ave Mailstop: 19b-6732, Philadelphia, PA 19128Office #4: 4949 N Broad St Ms: 19b-0108, Philadelphia, PA 19141Office #5: 5607 Vine St Mailstop: 19b-0031, Philadelphia, PA 19139Office #6: 3711 Germantown Ave. Mailstop: 19b-0047, Philadelphia, PA 19140Office #7: 6324 Stenton Avenue Ms: 19b-0045, Philadelphia, PA 19138Office #8: 11th St. & Lehigh Ave. Mailstop: 19b-0107, Philadelphia, PA 19133RIA
BD
CRD#: 39550
Philadelphia, PA
Past
February 26, 2019 - December 10, 2019
RESOURCE SECURITIES LLC
BD
CRD#: 133022
PHILADELPHIA, PA
Past
January 28, 2016 - September 1, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
PLYMOUTH, MN
Past
November 18, 2013 - September 10, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
LAKE ELMO, MN
Past
August 28, 2012 - September 10, 2014
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
LAKE ELMO, MN
Past
September 4, 2009 - February 23, 2011
BOE SECURITIES INC.
BD
CRD#: 43486
PHILADELPHIA, PA
Past
January 6, 2006 - February 23, 2007
STURDIVANT & CO. INC
BD
CRD#: 24583
VOORHEES, NJ
Past
April 3, 1996 - August 28, 1996
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Past
April 26, 1995 - May 11, 1995
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(3/4/2025)
IAR
Alabama(3/4/2025)
RR
Colorado(12/3/2024)
IAR
Colorado(12/3/2024)
RR
Delaware(3/20/2025)
IAR
Delaware(3/20/2025)
RR
Florida(3/23/2022)
IAR
Florida(3/24/2022)
RR
Indiana(12/6/2023)
IAR
Indiana(12/6/2023)
RR
Maryland(3/23/2022)
IAR
Maryland(3/23/2022)
RR
Minnesota(2/1/2022)
IAR
Minnesota(2/1/2022)
RR
New Jersey(8/17/2020)
IAR
New Jersey(8/17/2020)
RR
New York(8/17/2021)
IAR
New York(8/17/2021)
RR
Pennsylvania(8/17/2020)
IAR
Pennsylvania(8/17/2020)
RR
Virginia(3/4/2025)
IAR
Virginia(3/4/2025)
RR
Washington(3/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
