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Detailed Report
LESLIE RHODES CARPENITO
LES CARPENITO
CRD#: 1975993
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 2965 COLONNADE DR
STE 320
ROANOKE, VA 24018-3541
Registration History
199019952000200520102015202020252 FIRMS1989 - Present (35 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1989 - 2006 (16 years)
Disclosure(s)
View By:
12/11/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Colorado 9/1/2017
B
Pennsylvania 6/13/2007
B
Florida 11/6/2001
B
South Carolina 5/18/2015
B
Indiana 1/30/2008
B
Tennessee 1/25/2011
B
Maine 6/4/2018
B
Virginia 9/21/1989
B
Maryland 3/15/2019
IA
Virginia 10/27/1989
B
North Carolina 1/23/2001

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
2965 COLONNADE DR STE 320, ROANOKE, VA 24018-3541
Salem, VA
Registered with this firm since 10/27/1989
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
2965 COLONNADE DR STE 320, ROANOKE, VA 24018-3541
Salem, VA
Registered with this firm since 8/22/1989
Previous Registration(s)
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B
 08/22/1989 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.