Gordon K. 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.
Gordon Keith Carpenter was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1977. Gordon had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2007 - September 16, 2013
CARPENTER, CLAYDON ADVISORS, INC.
March 28, 2005 - July 11, 2007
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 23, 1999 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 23, 1999 - July 10, 2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 18, 1998 - July 23, 1999
FFP SECURITIES, INC.
September 4, 1997 - March 16, 1998
SII INVESTMENTS, INC.
April 27, 1992 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 12, 1983 - August 13, 1992
NEW ENGLAND SECURITIES
January 24, 1983 - December 22, 1986
CNL SECURITIES CORP.
March 23, 1977 - August 13, 1992
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
CARPENTER, CLAYDON ADVISORS, INC.
CRD#: 143516 / SEC#: 801-67751
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 1
Date: 3/10/1977
Registered Representative ExaminationCurrent Firm
CARPENTER, CLAYDON ADVISORS, INC.
CRD#: 143516 / SEC#: 801-67751
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 420 |
| AUM (Assets Under Management) | $ 266,629,139 |
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.
