Kimberly Kay Carpenter
AIF®Professional Summary
Kimberly Kay Carpenter, AIF®, who also goes by Kim Carpenter, was a registered financial advisor. Kimberly was a previously registered financial professional and started their career in finance 2000 - 2021. Kimberly had worked at 2 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kim Carpenter
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
C.R.I. SECURITIES, INC. | CRI SECURITIES, LLC | C.R.I. SECURITIES, LLC
Contact Information
Main Address
400 Robert Street North, St.paul, MN 55101Established
Minnesota since 12/01/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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