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Detailed Report
BRIAN LEROY CARPENTER
CRD#: 4215855
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 304 STRANDER BLVD.
TUKWILA, WA 98188
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 304 STRANDER BLVD.
TUKWILA, WA 98188
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (<1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - Present (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2010 - Present (14 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2003 - 2010 (6 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2001 - 2001 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2010 - 2018 (8 years)IAT. ROWE PRICE ADVISORY SERVICE... (CRD# 108958)2004 - 2010 (5 years)
License(s)

State Registrations

B
Alabama 1/4/2025
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Nebraska 1/4/2025
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Alaska 1/4/2025
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Nevada 1/4/2025
B
Arizona 1/4/2025
B
New Hampshire 1/4/2025
B
Arkansas 1/4/2025
B
New Jersey 1/4/2025
B
California 1/4/2025
B
New Mexico 1/4/2025
B
Colorado 1/4/2025
B
New York 1/4/2025
B
Connecticut 1/4/2025
B
North Carolina 1/4/2025
B
Delaware 1/4/2025
B
North Dakota 1/4/2025
B
District of Columbia 1/4/2025
B
Ohio 1/6/2025
B
Florida 1/4/2025
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Oklahoma 1/4/2025
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Georgia 1/4/2025
B
Oregon 1/4/2025
B
Hawaii 1/4/2025
B
Pennsylvania 1/4/2025
B
Idaho 1/4/2025
B
Puerto Rico 1/4/2025
B
Illinois 1/4/2025
B
Rhode Island 1/4/2025
B
Indiana 1/4/2025
B
South Carolina 1/4/2025
B
Iowa 1/4/2025
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South Dakota 1/4/2025
B
Kansas 1/4/2025
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Texas 4/9/2021
B
Kentucky 1/4/2025
IA
Texas 8/13/2021
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Louisiana 1/4/2025
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Utah 4/9/2021
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Maine 1/4/2025
B
Vermont 1/4/2025
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Maryland 1/4/2025
B
Virgin Islands 1/4/2025
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Massachusetts 4/9/2021
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Virginia 1/4/2025
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Michigan 1/4/2025
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Washington 7/13/2010
B
Minnesota 1/4/2025
IA
Washington 7/13/2018
B
Mississippi 1/4/2025
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West Virginia 1/4/2025
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Missouri 1/4/2025
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Wisconsin 1/4/2025
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Montana 1/4/2025
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Wyoming 1/4/2025

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
304 STRANDER BLVD., TUKWILA, WA 98188
TACOMA, WA
Registered with this firm since 7/13/2018
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
304 STRANDER BLVD., TUKWILA, WA 98188
TACOMA, WA
Registered with this firm since 7/13/2010
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/26/2010 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) BROOMFIELD, CO
IA
 12/10/2004 - 05/20/2010 T. ROWE PRICE ADVISORY SERVICES, INC. (CRD#:108958) COLORADO SPRINGS, CO
B
 11/26/2003 - 05/20/2010 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) MCLEAN, VA
B
 03/19/2001 - 07/05/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 09/21/2000 - 01/22/2001 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 09/21/2000 - 01/22/2001 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.