Tracy D. Carpenter
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tracy Deneice Carpenter, who also goes by Tracy Barber, Tracy Carpenter, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1999. Tracy had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2000 - August 16, 2001
FIRSTAR INVESTMENT SERVICES,INC.
October 1, 2000 - December 8, 2000
WELLS FARGO CLEARING SERVICES, LLC
October 15, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRSTAR INVESTMENT SERVICES,INC.
CRD#: 14536 / SEC#: , 8-30767
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP MINNESOTA, N.A. | OWNER | |
| DAVIS, RICHARD | DIRECTOR | |
| GUEVARA, CARLOS JOHN | SENIOR VICE PRESIDENT, DIRECTOR OF COMPLIANCE | 1697335 |
| HIDY, RICHARD J. | CHIEF LEGAL OFFICER, SECRETARY | |
| JACOBSMEYER, CAROL JEAN | DIRECTOR | 603832 |
| LAMMERT, MARILYN KAY | ASSISTANT VICE PRESIDENT, SROP, CROP | 1264361 |
| MCCORMACK, DANIEL JOSEPH | INTERIM PRESIDENT | 1808443 |
| SANTIAGO, MARIA ISABEL | SENIOR VICE PRESIDENT, OPERATIONS & BROKER SERVICES | 1275974 |
| SHORT, STEVEN | DIRECTOR | |
| TRUEMAN, DANIEL JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2912375 |
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.
