Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Carpenter is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with LPL Financial LLC, and is a Series 6, 7, and 63 licensed professional. Richard previously held positions at UVEST Financial Services Group, Inc., Wachovia Securities, LLC, and First Union Brokerage Services, Inc. Richard has a proven track record of success in providing financial advice and guidance to individuals and families.
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.
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.
Consulting and other non-discretionary advisory services
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
SC
04/19/2012 - Present
LPL Financial LLC (FORT MILL SC)
NC
09/15/2005 - 04/19/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
MO
10/01/2000 - 09/02/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
10/05/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 11/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2004
Series 7 - General Securities Representative Examination
BC
Issued 10/04/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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