Individual Firm
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JUSTIN JAMES CARPENITO
JUSTIN JAMES PENDER
CRD#: 3210157
IA
B
MORGAN STANLEYCRD#: 149777 Bluffton, SC
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4/15/1993
Criminal
Final Disposition
5/6/1991
Criminal
Final Disposition
State Registrations
B
Alaska 6/1/2009
B
Montana 1/15/2014
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Alaska 6/1/2009
B
Nebraska 1/19/2021
B
Arizona 1/31/2014
B
Nevada 2/3/2014
B
Arkansas 1/14/2021
B
New Hampshire 6/7/2023
B
California 9/23/2013
B
New Mexico 1/24/2014
B
Colorado 1/15/2014
B
New York 1/15/2014
B
Connecticut 1/13/2021
B
North Carolina 1/15/2014
B
Delaware 1/14/2021
B
Ohio 1/14/2014
B
District of Columbia 1/15/2014
B
Oklahoma 2/7/2017
B
Florida 1/17/2014
B
Oregon 9/23/2013
B
Georgia 1/15/2014
B
Pennsylvania 1/15/2014
B
Hawaii 1/22/2014
B
South Carolina 6/14/2021
B
Idaho 1/15/2014
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South Carolina 7/12/2023
B
Illinois 1/24/2014
B
Tennessee 1/14/2021
B
Indiana 3/12/2024
B
Texas 2/27/2014
B
Kansas 11/19/2024
IA
Texas 2/24/2020
B
Kentucky 1/14/2021
B
Utah 3/4/2021
B
Maine 1/14/2021
B
Vermont 10/18/2019
B
Maryland 1/31/2014
B
Virginia 1/15/2014
B
Massachusetts 6/3/2016
B
Washington 6/1/2009
B
Michigan 1/15/2014
IA
Washington 6/1/2009
B
Minnesota 8/5/2019
B
West Virginia 1/25/2021
B
Mississippi 1/15/2021
B
Wisconsin 1/30/2014
B
Missouri 2/18/2021
B
Wyoming 6/21/2023
SRO Registrations
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B
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | BELLEVUE, WA | |
B | 04/02/2007 - 06/01/2009 | BELLEVUE, WA | |
IA | 01/12/2004 - 04/02/2007 | BELLEVUE, WA | |
B | 12/17/2003 - 04/02/2007 | BELLEVUE, WA | |
IA | 06/25/1999 - 06/02/2003 | SEQUIM, WA | |
B | 09/29/2001 - 06/02/2003 | ELMHURST, IL | |
B | 04/25/2000 - 10/01/2001 | ST. LOUIS, MO | |
B | 04/30/1999 - 04/05/2000 | LAVISTA, NE |
SEQUIM, WA
06/25/1999 - 06/02/2003
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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.
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