Mark J. Carpenter
Professional summary
Mark Jason Carpenter was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Mark had worked at 4 firms, which includes CUSO FINANCIAL SERVICES L.P., BANC ONE SECURITIES CORPORATION, CHASE INVESTMENT SERVICES CORP., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2007 - October 30, 2008
CUSO FINANCIAL SERVICES, L.P.
July 6, 2007 - October 30, 2008
CUSO FINANCIAL SERVICES, L.P.
November 19, 2003 - December 3, 2004
BANC ONE SECURITIES CORPORATION
November 19, 2003 - December 3, 2004
BANC ONE SECURITIES CORPORATION
November 5, 2002 - November 3, 2003
CHASE INVESTMENT SERVICES CORP.
October 15, 2002 - November 3, 2003
CHASE INVESTMENT SERVICES CORP.
March 6, 2002 - October 4, 2002
AMERIPRISE ADVISOR 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
Current Firm
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
Red Flags
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