William J. 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.
William Joseph Carpenter, who also goes by William Carpenter, Bill Carpenter, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2006. William had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2019 - August 30, 2019
TD AMERITRADE, INC.
March 11, 2019 - August 30, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 6, 2019 - August 30, 2019
TD AMERITRADE, INC.
October 7, 2010 - January 23, 2017
CHARLES SCHWAB & CO., INC.
October 6, 2010 - January 23, 2017
CHARLES SCHWAB & CO., INC.
November 17, 2006 - August 19, 2010
EDWARD JONES
September 12, 2006 - August 19, 2010
EDWARD JONES
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
