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CC

Carmen E. Carpenter

EM SECURITIES LLC
LOS ANGELES, CA 90067
Some features on this profile are disabled
CRD#: 5735009
CC

Professional summary

Carmen Elizabeth Carpenter, who also goes by Carmen Carpenter, is a registered financial professional currently at EM SECURITIES LLC located in Los Angeles, California.

Carmen is registered as a RR (Registered Representative) and started their career in finance in 2011. Carmen has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carmen 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carmen Elizabeth Carpenter's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 4, 2011 - Present

EM SECURITIES LLC

Office #1: C/o Caa - Attn: Carmen Carpenter 2000 Avenue Of The Stars, Los Angeles, CA 90067
BD
CRD#: 148257
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/13/2012)
RR
New York
(8/13/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 8/11/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/2/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EM SECURITIES LLC
EM ADVISORS, LLC | EM SECURITIES LLC

CRD#: 148257 / SEC#: , 8-67997

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
C/o Caa Evolution 405 Lexington Avenue 19th Floor, New York, NY, 10174
Mailing Address
C/o Caa Evolution 405 Lexington Avenue 19th Floor, New York, NY, 10174
Phone number
(212) 277-5261
Established
Delaware since 07/29/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAA EVOLUTION LLCMEMBER
STANLEY, ROBERT GERARD JRPRINCIPAL & CCO2777864
EFREM, KATHY KHATINAFINOP3248100

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.

Company Information

EM SECURITIES LLC

CRD#: 148257Los Angeles, CA 90067

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