Arthur R. 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.
Arthur Robert Carpenter was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2006. Arthur had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2010 - December 7, 2011
HBW SECURITIES LLC
April 11, 2006 - April 28, 2009
FIRST CLEARING, LLC
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
HBW SECURITIES LLC
CRD#: 136959 / SEC#: , 8-67056
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HBW INSURANCE AND FINANCIAL SERVICES INC. | OWNER | |
| BONANNO, JOSEPH ANTHONY JR. | CHIEF OPERATING OFFICER & CFO | 1907829 |
| BROERSMA, JOEL DARRIN | OWNER/SHAREHOLDER | 2779679 |
| BROWN, MICHAEL OWEN | FINOP | 1658070 |
| COWEN, LOUISE APRIL | PRINCIPAL | 4914680 |
| HELLENBRAND, BARNETT DAVID | CEO/PRESIDENT | 1141518 |
| LINDER, SARAH BETH | CHIEF COMPLIANCE OFFICER | 5084656 |
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.
