Lewis 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.
Lewis Jacob Carpenter, who also goes by Jake Carpenter, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 2008. Lewis had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
August 26, 2024 - May 14, 2025
CARPENTER FINANCIAL GROUP, LLC
June 12, 2023 - December 12, 2024
EPIC PRIVATE WEALTH
July 23, 2020 - August 29, 2023
EQUILUS GROUP INC
November 24, 2015 - July 28, 2017
KEY INVESTMENT SERVICES LLC
July 15, 2015 - December 7, 2015
PRINCIPAL SECURITIES, INC.
July 22, 2013 - February 4, 2015
MML INVESTORS SERVICES, LLC
November 12, 2008 - July 30, 2013
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
CARPENTER FINANCIAL GROUP, LLC
CRD#: 326966 / SEC#:
Contact information
Red Flags
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