Jay L. 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.
Jay Lynn Carpenter was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1978. Jay had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2014 - October 2, 2014
BRAVER STERN SECURITIES LLC
December 6, 2013 - October 2, 2014
BRAVER STERN SECURITIES LLC
May 25, 2012 - December 17, 2013
SANCTUARY SECURITIES, INC.
May 25, 2012 - December 17, 2013
SANCTUARY SECURITIES, INC.
May 17, 2006 - May 25, 2012
CITY SECURITIES CORPORATION
May 12, 2006 - May 25, 2012
CITY SECURITIES CORPORATION
May 11, 2005 - May 15, 2006
J. B. HANAUER & CO.
October 29, 2003 - May 15, 2006
J. B. HANAUER & CO.
March 11, 2002 - November 21, 2003
RBC CAPITAL MARKETS, LLC
March 9, 2002 - November 21, 2003
RBC CAPITAL MARKETS, LLC
August 30, 1993 - March 9, 2002
TUCKER ANTHONY INCORPORATED
February 29, 1988 - January 6, 1992
TUCKER ANTHONY INCORPORATED
February 28, 1988 - January 6, 1992
TUCKER ANTHONY INCORPORATED
January 18, 1982 - March 23, 1990
CIBC WORLD MARKETS CORP.
August 5, 1981 - September 19, 1981
TALON SECURITIES, INC.
April 3, 1979 - August 11, 1981
CIBC WORLD MARKETS CORP.
September 25, 1978 - April 26, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
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
Current Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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