Michael N. 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.
Michael Nelson Carpenter, who also goes by Michael Carpenter, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 50, Series 79 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 26, 2012 - April 1, 2020
JONES LANG LASALLE SECURITIES, LLC
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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 79TO
Date: 12/22/2022
Investment Banking Registered Representative ExaminationCurrent Firm
JONES LANG LASALLE SECURITIES, LLC
CRD#: 120738 / SEC#: , 8-65341
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES LANG LASALLE AMERICAS, INC. | DIRECT OWNER | |
| JOSEPH, MICHAEL SCOTT | MANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER | 4231268 |
| CASHDAN, DANIEL MICHAEL | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | 1910672 |
| DORFMAN, ESTEE CARLA | PRINCIPAL FINANCIAL OFFICER | 2696529 |
| DORFMAN, ESTEE CARLA | FINANCIAL OPERATIONS PRINCIPAL | 2696529 |
| DOWNING, JAMES ROTH | PRINCIPAL OPERATIONS OFFICER | 5514806 |
| DOWNING, JAMES ROTH | CHIEF COMPLIANCE OFFICER | 5514806 |
Red Flags
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