Scott Richard Carpenter
Professional Summary
Scott Richard Carpenter, who also goes by Scott R Carpenter, is a registered financial advisor currently at PRO:ACT CAPITAL MANAGEMENT located in Heath, Texas. Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Scott has worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott R Carpenter
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
PRO:ACT CAPITAL MANAGEMENT | PROACT CAPITAL MANAGEMENT INC. | PRO:ACT CAPITAL MANAGEMENT LLC
Contact Information
Main Address
Heath, TXPhone Number
(609) 731-7332# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
24AUM (Assets Under Management)
$18,903,601Similar Advisors
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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.
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State Registrations and Notice Filings
(9/26/2011)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Scott Richard Carpenter's CRS (Customer Relationship Summary).
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