Katie J. Carpenter

SPRINGLAKE FINANCIAL PARTNERS

Franklin, TN

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CRD#: 6913334

Professional summary

Katie Jo'anne Carpenter, who also goes by Katie Carpenter, Katie Joanne Jones, is a registered financial advisor currently at SPRINGLAKE FINANCIAL PARTNERS located in Franklin, Tennessee.

Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Katie has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katie Carpenter | Katie Joanne Jones

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) - RIA

Click below to view Katie Jo'anne 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

January 9, 2026 - Present

SPRINGLAKE FINANCIAL PARTNERS

RIA

CRD#: 334134

Franklin, TN

Past

October 15, 2018 - January 14, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Franklin, TN

Past

September 14, 2018 - January 14, 2026

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Franklin, TN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(1/9/2026)

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: 10/15/2018

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: 9/14/2018

General Securities Representative Examination

Current Firm

SPRINGLAKE FINANCIAL PARTNERS

SPRINGLAKE FINANCIAL PARTNERS | TH FINANCIAL, LLC

CRD#: 334134 / SEC#:

Tennessee

Registered Investment Advisory firm - (12/16/2024 Approved)

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Contact information

Main Address

Franklin, TN

Mailing Address

Phone number

(615) 659-0220

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	80
AUM (Assets Under Management)	$ 40,034,190

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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Firm Stability Insights

Katie J. Carpenter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Jo'anne Carpenter's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPRINGLAKE FINANCIAL PARTNERS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2018

Current Firm

SPRINGLAKE FINANCIAL PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPRINGLAKE FINANCIAL PARTNERS

TRUST BUT VERIFY

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