Charles M. 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 Mark Carpenter, who also goes by Charles M Carpenter Palms, Charles Mark Carpenter Palms, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2002. Charles had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 30 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2002 - June 24, 2013
PT ASSET MANAGEMENT, LLC
January 31, 2002 - July 9, 2026
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Primary Firm SEC Registration
PT ASSET MANAGEMENT, LLC
CRD#: 107619 / SEC#: 801-46031
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
PT ASSET MANAGEMENT, LLC
CRD#: 107619 / SEC#: 801-46031
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 9,587,215,582 |
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.
