Barry L. Carpenter

CASCADES CAPITAL ASSET MANAGEMENT

Greensboro, NC 27408

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CRD#: 3222077

Professional summary

Barry Lee Carpenter is a registered financial advisor currently at CASCADES CAPITAL ASSET MANAGEMENT, LLC located in Greensboro, North Carolina.

Barry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Barry has worked at 3 firms and has passed the Series 65, Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lee Carpenter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 7, 2014 - Present

CASCADES CAPITAL ASSET MANAGEMENT, LLC

Office #1: 1840 Pembroke Road Suite 1, Greensboro, NC 27408

RIA

CRD#: 167102

Greensboro, NC

Past

June 4, 2004 - March 12, 2013

OLD NORTH STATE TRUST, LLC

RIA

CRD#: 106155

SILER CITY, NC

Past

June 25, 1999 - January 22, 2002

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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".

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(3/7/2014)

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

State Security Law Exam

IAR

Series 65

Date: 6/3/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/15/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/24/1999

General Securities Representative Examination

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

CASCADES CAPITAL ASSET MANAGEMENT | CASCADES CAPITAL LLC | CASCADES CAPITAL ASSET MANAGEMENT, LLC

CRD#: 167102 / SEC#: 801-113166

RIA

Registered Investment Advisory firm - (5/7/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/11/2018 Terminated)

Virginia

Registered Investment Advisory firm - (5/7/2018 Terminated)

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Contact information

Main Address

1840 Pembroke Road Suite 1, Greensboro, NC 27408

Mailing Address

Phone number

(336) 404-4746

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASCADES CAPITAL ASSET MANAGEMENT, LLC (3/18/2025)

Regulatory assets under management

Total Number of Accounts	691
AUM (Assets Under Management)	$ 321,951,547

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.

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Barry L. Carpenter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Lee Carpenter's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADES CAPITAL ASSET MANAGEMENT, LLC

OLD NORTH STATE TRUST, LLC

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

CASCADES CAPITAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2004

Series 66

Date: 7/15/1999

Series 7

Date: 6/24/1999

Current Firm

CASCADES CAPITAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASCADES CAPITAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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