Bradley Carpenter
Professional Summary
Bradley Carpenter, who also goes by Brad Carpenter, is a registered financial advisor currently at AW SECURITIES located in Riverwoods, Illinois. Bradley is registered as a RR (Registered Representative) and started their career in finance in 2021. Bradley has worked at 2 firms and has passed the Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brad Carpenter
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Years of Experience
6 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Current Firm
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN
Contact Information
Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630Phone Number
(916) 482-2196Established
Delaware since 10/26/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
10FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Bradley Carpenter's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
