Kimberly K. 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.
Kimberly Kay Carpenter, AIF®, who also goes by Kim Carpenter, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2000. 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - November 15, 2021
CRI SECURITIES, LLC
January 15, 2014 - August 11, 2023
SECURIAN FINANCIAL SERVICES, INC.
October 5, 2000 - December 16, 2021
CRI SECURITIES, LLC
October 5, 2000 - August 3, 2026
SECURIAN FINANCIAL 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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CRI SECURITIES, LLC
CRD#: 22589 / SEC#: 801-62434, 8-39877
Contact information
Disclosures
| Regulatory Event | 1 |
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.
