JC
James R. Carpenter
SIMPLIFIED WEALTH MANAGEMENT
Hattiesburg, MS 39402
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CRD#: 4492120
JC
Professional summary
James Ray Carpenter II, who also goes by Jimmy Carpenter, is a registered financial advisor currently at SIMPLIFIED WEALTH MANAGEMENT located in Hattiesburg, Mississippi.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy Carpenter
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.
1. TEACHING INDIVIDUAL AND GROUP GOLF LESSONS / HATTIESBURG, MS / NOVEMBER 26, 2004 2. 11/10/09 - REAL ESTATE RENTAL, J CARPENTER LLC, / HATTIESBURG, MS / NOT-INVESTMENT RELATED / APPROXIMATELY 2% OF TIME. 3. 02/19/2015 - INSURANCE - STELLAR INSURANCE- TIME SPENT 15 HOURS PER MONTH / HATTIESBURG, MS / INVESTMENT-RELATED / SALES OF VARIOUS INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view James Ray Carpenter II'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
September 4, 2020 - Present
SIMPLIFIED WEALTH MANAGEMENT
Office #1: 14 Orleans Drive, Hattiesburg, MS 39402RIA
CRD#: 297059
Hattiesburg, MS
Past
November 30, 2004 - September 11, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
HATTIESBURG, MS
Past
October 21, 2004 - September 11, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
HATTIESBURG, MS
Past
March 12, 2002 - November 9, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Mississippi(9/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SW
SIMPLIFIED WEALTH MANAGEMENT
CREEL WEALTH MANAGEMENT | SIMPLIFIED WEALTH MANAGEMENT, LLC | SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059 / SEC#: 801-123772
RIA
Registered Investment Advisory firm - (4/21/2022 Approved)Alabama
Registered Investment Advisory firm - (5/2/2022 Terminated)Florida
Registered Investment Advisory firm - (5/2/2022 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2022 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2022 Terminated)Mississippi
Registered Investment Advisory firm - (5/2/2022 Terminated)Texas
Registered Investment Advisory firm - (5/2/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 Orleans Drive, Hattiesburg, MS 39402
Mailing Address
Phone number
(601) 336-4265
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,451 |
| AUM (Assets Under Management) | $ 179,488,997 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SIMPLIFIED WEALTH MANAGEMENT
CRD#: 297059Hattiesburg, MS 39402TRUST BUT VERIFY
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