CC
Charles M. Carpenter
PERFORMANCE TRUST CAPITAL PARTNERS
San Juan, PR 00909
Some features on this profile are disabled
CRD#: 4479169
CC
Professional summary
Charles Mark Carpenter, who also goes by Charles M Carpenter Palms, Charles Mark Carpenter Palms, is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in San Juan, .
Charles is registered as a RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charles M Carpenter Palms | Charles Mark Carpenter Palms
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.
CRS (Client Relationship Summary) - BD
Click below to view Charles Mark Carpenter's 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®
NoneExperience
Current
January 31, 2002 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Office #1: 1666 Ave Ponce De Leon, San Juan, PR 00909BD
CRD#: 36155
San Juan, PR
Past
June 27, 2002 - June 24, 2013
PT ASSET MANAGEMENT, LLC
RIA
CRD#: 107619
ITASCA, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(4/15/2024)
RR
Idaho(3/14/2018)
RR
Illinois(2/7/2002)
RR
Iowa(4/15/2024)
RR
Michigan(4/15/2024)
RR
Montana(4/15/2024)
RR
Nebraska(2/21/2024)
RR
New Hampshire(4/15/2024)
RR
New Mexico(2/21/2024)
RR
New York(1/3/2005)
RR
Oregon(4/15/2024)
RR
Puerto Rico(1/31/2002)
RR
Texas(9/6/2002)
RR
Vermont(4/15/2024)
RR
Virginia(4/15/2024)
RR
Washington(3/14/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PT
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BETZOLD RESEARCH AND TRADING, INC. | PT CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | BETZOLD, BERG, NUSSBAUM & HEITMAN, INC. | BETZOLD, BERG & NUSSBAUM, INC. | BETZOLD, BERG & ASSOCIATES, INC.
CRD#: 36155 / SEC#: 801-72427, 8-47035
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
500 W. Madison Suite 450, Chicago, IL 60661
Mailing Address
500 W. Madison Suite 450, Chicago, IL 60661
Phone number
(312) 521-1452
Established
Illinois since 10/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
357
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
CRD#: 36155San Juan, PR 00909TRUST BUT VERIFY
Monitor Charles Carpenter
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
