Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Carpenter is a registered investment advisor representative with Vanguard Advisers, Inc.. Cindy has been in the industry since July 4, 2006. Prior to joining Vanguard Advisers, Inc., Cindy was employed by Matson Money, Inc., J.P. Morgan Securities LLC, Commonwealth Financial Network, New England Securities, and others. Cindy is currently registered in Arizona and Texas. Cindy holds the Series 6, Series 7, Series 63, Series 65, and SIE licenses. Cindy's areas of expertise include financial planning, selection of other advisors, and portfolio management for individuals and businesses. Cindy provides investment advisory services for clients in the following categories: individuals, businesses, charitable organizations, high net worth individuals, pension and profit sharing plans, pooled investment vehicles, and health and welfare trusts.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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AZ
03/07/2022 - Present
Vanguard Advisers, Inc. (Scottsdale AZ)
AZ
11/15/2016 - 02/05/2019
J.P. MORGAN SECURITIES LLC (PHOENIX AZ)
AZ
06/27/2013 - 10/24/2016
COMMONWEALTH FINANCIAL NETWORK (PHOENIX AZ)
AZ
04/10/2008 - 09/05/2008
NEW ENGLAND SECURITIES (PHOENIX AZ)
CA
03/19/2003 - 03/26/2008
NATIONAL PLANNING CORPORATION (LONG BEACH CA)
TX
09/23/2002 - 11/27/2002
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
CA
12/03/1999 - 03/29/2000
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
01/01/1999 - 12/23/1999
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
07/16/1998 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
NJ
02/22/1996 - 04/24/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 04/11/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/11/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2013
Series 7 - General Securities Representative Examination
BC
Issued 07/15/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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