JC
John R. Carpenter
STIFEL, NICOLAUS & COMPANY
Dallas, TX 75201
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CRD#: 2693859
JC
Professional summary
John Robert Carpenter is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Dallas, Texas.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
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. Rental Property; 1205 Mill Valley, Plano, TX 75075; Duplex; Owner/Landlord; Collect rent and fix things; 12/01/1993; 1 Hour per Month; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 5034 Alcott St, Dallas, TX 75206; Rental Property; Owner/Landlord; 01/01/2003; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. Next Level Sports Group, Dallas, TX 75243; Baseball teams and training; Investor/Co-Owner; Coach; 09/05/2018; 3 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 4. Bob Carpenter Real Estate LLC; 2406 Auburn Ave, Dallas, TX 75214; 13 residential rental properties; Co-Owner; Submit payroll and tax docs; 02/10/2020; 2 Hours per Month; Not During Securities Trading Hours; Investment-Related. 5. Patterson Family Ranch LLC; 8750 E FM 837, Palestine, TX; Hunt and harvest trees; Co-Owner; 11/11/2020; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 6. Money Ball LLC; 2406 Auburn Ave, Dallas, TX 75214; Owns stake in Big League Dreams; Passive Investor; 12/30/2021; 0 Hours per Month; Not During Securities Trading Hours; Investment-Related. 7. Sheepdog Cricket LLC; 2406 Auburn Ave Dallas TX 75214; To Invest in Real Estate. The first venture will be a $1mm investment into Samvana Sports LLC; Manager; Invest in Real Estate; 10/28/2024; 1 hr/quarter; Not During Securities Trading Hours; Investment-Related 8. Rental Property; 264 Sunrise Port Aransas TX 78373; Rental Property; Beach house in Port A we will begin renting in April; 03/19/2025; 2 hrs/year; Not during security trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view John Robert Carpenter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Robert 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
November 4, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Current
October 28, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2850 North Harwood 18th Floor, Dallas, TX 75201RIA
BD
CRD#: 793
Dallas, TX
Past
October 28, 2020 - October 28, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
ST LOUIS, MO
Past
February 10, 2006 - October 29, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
February 10, 2006 - October 29, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
January 31, 1996 - March 9, 2006
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
January 30, 1996 - March 9, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Arizona(10/28/2020)
RR
California(10/28/2020)
RR
Georgia(10/30/2020)
RR
Idaho(4/15/2021)
RR
Illinois(4/28/2021)
RR
Kansas(8/27/2024)
RR
Louisiana(10/28/2020)
RR
New York(1/8/2021)
RR
North Carolina(7/16/2024)
RR
Oregon(10/28/2020)
RR
Pennsylvania(6/9/2025)
RR
Texas(10/29/2020)
IAR
Texas(11/4/2020)
RR
Virginia(10/28/2020)
RR
Washington(10/28/2020)
RR
Wisconsin(10/28/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Dallas, TX 75201TRUST BUT VERIFY
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