Joseph L. Carpenter

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CRD#: 6878294

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.

Joseph Liam Carpenter, who also goes by Joe Carpenter, Joseph Liam Carpenter, Joseph Carpenter, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2018. Joseph had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Carpenter | Joseph Liam Carpenter | Joseph 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.

Name: US Army Reserve, Role: Company Commander, Start Date: 06/06/2006, Investment Related?: No, Address: 4400 North Northview Ave, Sioux Falls, SD 57107, Nature of the other business: Government/Military, Number of Hours/Mo: 30 Number of hours during trading hours: 0, Duties: Company Commander - Command a Company of Soldiers

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 10, 2021 - October 12, 2022

USI ADVISORS

RIA

CRD#: 108113

Omaha, NE

Past

March 29, 2021 - October 14, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

March 22, 2021 - October 14, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

August 14, 2020 - December 2, 2020

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

OMAHA, NE

Past

August 13, 2020 - December 2, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

OMAHA, NE

Past

November 7, 2019 - August 5, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

OMAHA, NE

Past

October 30, 2019 - August 4, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

OMAHA, NE

Past

January 18, 2018 - October 12, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

January 18, 2018 - October 12, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Omaha, NE

Past

January 2, 2018 - October 12, 2019

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/16/2018

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: 12/28/2017

General Securities Representative Examination

Current Firm

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-5283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 48,864,913,348

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

Joseph L. Carpenter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/16/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2017

Current Firm

USI ADVISORS

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USI ADVISORS

TRUST BUT VERIFY

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