Heath M. Carpenter

PACER FINANCIAL

Malvern, PA 19355

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CRD#: 5823214

Professional summary

Heath Michael Carpenter, who also goes by Heath M Carpenter, is a registered financial professional currently at PACER FINANCIAL, INC. located in Malvern, Pennsylvania.

Heath is registered as a RR (Registered Representative) and started their career in finance in 2010. Heath has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Heath M 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 Heath Michael Carpenter's 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

February 16, 2022 - Present

PACER FINANCIAL, INC.

Office #1: 500 Chesterfield Parkway, Malvern, PA 19355

CRD#: 137040

Malvern, PA

Past

September 9, 2021 - February 16, 2022

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

December 22, 2020 - September 23, 2021

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

June 4, 2019 - October 7, 2020

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

June 29, 2017 - May 22, 2019

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

March 5, 2012 - July 11, 2017

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

November 18, 2011 - March 13, 2012

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

November 18, 2011 - March 13, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

January 3, 2011 - June 23, 2011

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

SOUTH BEND, IN

Past

September 21, 2010 - June 23, 2011

CITY SECURITIES CORPORATION

CRD#: 1459

SOUTH BEND, IN

State Registrations and Notice Filings

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

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

Alaska
(2/16/2022)

Idaho
(2/16/2022)

Montana
(2/16/2022)

Oregon
(2/16/2022)

Pennsylvania
(2/16/2022)

Washington
(2/16/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/22/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PACER FINANCIAL, INC.

CRD#: 137040 / SEC#: , 8-67061

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

500 Chesterfield Parkway, Malvern, PA 19355

Mailing Address

500 Chesterfield Parkway, Malvern, PA 19355

Phone number

(610) 644-8100

Established

Pennsylvania since 03/23/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
THOMSON, JOE MCKEE	PRESIDENT	718569
OHARA, SEAN EDWARD	DIRECTOR	1312483
BRADBARD, ASHLEE ANN THOMSON	SR. VICE PRESIDENT	5761850
THOMSON, JOANN MARIE	SECRETARY/TREASURER	5086499
ZELLER, KIMBERLY L. T.	VICE PRESIDENT	5774669
JOHNSON, JEFFREY SHAWN	CHIEF COMPLIANCE OFFICER	5508770
MILLER, JOHN STEVENSON	FINOP	2139980

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.

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Advisor Monitoring

Firm Stability Insights

Heath M. Carpenter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heath Michael Carpenter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADP BROKER-DEALER, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

TRANSAMERICA CAPITAL, LLC

SAMMONS FINANCIAL NETWORK, LLC

TRANSAMERICA CAPITAL, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2010

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2010

FINRA

Current Firm

PACER FINANCIAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PACER FINANCIAL, INC.

TRUST BUT VERIFY

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