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THERESA CARPENTIERI GERNHARD
THERESA A CARPENTIERI
CRD#: 3119822
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 BLUFFTON, SC
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 BLUFFTON, SC
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - Present (17 years)BINVESTORS CAPITAL CORP. (CRD# 30613)2002 - 2005 (3 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2000 - 2002 (2 years)BWADDELL & REED, INC. (CRD# 866)1998 - 2000 (1 year)IAINVESTORS CAPITAL ADVISORY (CRD# 30613)2004 - 2004 (<1 year)IAEASTERN POINT ADVISORS INC. (CRD# 107123)2002 - 2002 (<1 year)
License(s)

State Registrations

B
California 2/28/2008

B
New Hampshire 2/28/2008

B
Connecticut 2/28/2008

B
South Carolina 1/16/2013

B
Florida 11/13/2017

IA
South Carolina 10/29/2015

B
Massachusetts 4/22/2015

B
Washington 8/16/2019

B
Michigan 2/28/2008

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
BLUFFTON, SC
Registered with this firm since 2/28/2008

B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
BLUFFTON, SC
Registered with this firm since 2/28/2008

Previous Registration(s)
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IA
08/07/2006 - 03/10/2008 JONATHAN ROBERTS ADVISORY GROUP, INC. (CRD#:112294) TAMPA, FL
B
01/23/2006 - 02/29/2008 J.W. COLE FINANCIAL, INC. (CRD#:124583) PITTSFIELD, NH
B
03/14/2002 - 12/31/2005 INVESTORS CAPITAL CORP. (CRD#:30613) LYNNFIELD, MA
IA
10/27/2004 - 12/15/2004 INVESTORS CAPITAL ADVISORY (CRD#:30613) PITTSFIELD, NH
IA
05/22/2002 - 12/31/2002 EASTERN POINT ADVISORS INC. (CRD#:107123) PITTSFIELD, NH
B
02/28/2000 - 02/19/2002 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
09/21/1998 - 02/09/2000 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
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B
Broker
IA
Investment Adviser
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.