Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter C. Carpenter is an active investment advisor registered with both the Securities and Exchange Commission (SEC) and several states, including New Jersey and Texas. Peter has been in the financial services industry since 1998. Peter currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at Dean Witter Reynolds Inc. Peter has a wide range of experience in the financial industry and has passed numerous industry exams, including the Series 7, Series 63, Series 24, and Series 65 exams.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
02/19/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
05/20/1998 - 08/28/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/20/1997 - 01/06/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2010
Series 24 - General Securities Principal Examination
BC
Issued 03/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/20/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/20/2006
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2009
Series 3 - National Commodity Futures Examination
BC
Issued 01/23/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/29/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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