Charles 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.
Charles David Carpenter was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 5, Series 1, Series 9, Series 10, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - September 16, 2022
WEDBUSH SECURITIES INC.
August 22, 2011 - September 16, 2022
WEDBUSH SECURITIES INC.
July 8, 1997 - August 23, 2011
CROWELL, WEEDON & CO.
June 12, 1985 - August 23, 2011
CROWELL, WEEDON & CO.
February 1, 1985 - April 8, 1985
ROBERT THOMAS SECURITIES, INC
April 18, 1984 - December 12, 1984
THE SECURITIES CENTER, INC.
September 27, 1983 - June 20, 1984
FRANKLIN REAL ESTATE DISTRIBUTORS, INC.
January 31, 1983 - July 5, 1983
A. G. EDWARDS & SONS, INC.
May 15, 1979 - February 14, 1983
MORGAN STANLEY DW INC.
March 12, 1976 - May 30, 1979
SUTRO & CO. INCORPORATED
September 28, 1973 - April 6, 1976
JJC SECURITIES CO., INC.
January 26, 1971 - December 8, 1973
WILLIAM O'NEIL SECURITIES
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 11/30/1967
Registered Representative ExaminationSeries 00
Date: 9/8/1969
General Securities Principal ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
