Steven R. 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.
Steven Richard Carpenter, who also goes by Steven R Carpenter, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2006. Steven had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2020 - August 26, 2020
STATE FARM VP MANAGEMENT CORP.
April 27, 2017 - January 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 27, 2017 - January 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 1, 2015 - June 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2015 - June 9, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2012 - April 13, 2015
VOYA FINANCIAL ADVISORS, INC.
March 12, 2012 - April 13, 2015
VOYA FINANCIAL ADVISORS, INC.
November 10, 2009 - April 30, 2010
CITIZENS SECURITIES, INC.
November 10, 2009 - April 30, 2010
CITIZENS SECURITIES, INC.
June 23, 2009 - October 1, 2009
TD AMERITRADE, INC.
June 23, 2009 - October 1, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 15, 2009 - October 1, 2009
TD AMERITRADE, INC.
June 12, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2006 - March 18, 2009
BANC OF AMERICA INVESTMENT 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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
