Individual Firm
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PAUL KEVIN CARPENTIER
CRD#: 5504302
IA
B
PNC INVESTMENTSCRD#: 129052 Tampa, FL
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Alabama 6/27/2022
B
Michigan 7/20/2022
B
Arizona 6/6/2024
B
Minnesota 1/15/2025
B
California 4/30/2024
B
New Jersey 6/27/2022
B
Colorado 6/6/2024
B
New York 6/27/2022
B
Delaware 6/27/2022
B
North Carolina 6/23/2022
B
District of Columbia 6/27/2022
B
Ohio 6/27/2022
B
Florida 6/27/2022
B
Pennsylvania 6/27/2022
IA
Florida 1/21/2025
B
South Carolina 6/24/2022
B
Georgia 6/27/2022
B
Tennessee 4/12/2024
B
Illinois 7/20/2022
B
Texas 6/15/2023
B
Indiana 6/27/2022
B
Virginia 6/27/2022
B
Kentucky 6/27/2022
B
West Virginia 6/6/2024
B
Maryland 6/27/2022
B
Wisconsin 6/6/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/06/2022 - 01/17/2025 | Clover, SC | |
IA | 06/23/2022 - 06/24/2022 | Clover, SC | |
IA | 08/20/2020 - 06/17/2022 | CHARLOTTE, NC | |
B | 08/20/2020 - 06/17/2022 | CHARLOTTE, NC | |
IA | 12/15/2015 - 08/26/2020 | CHARLOTTE, NC | |
B | 12/15/2015 - 08/26/2020 | CHARLOTTE, NC | |
IA | 07/16/2015 - 12/09/2015 | CHARLOTTE, NC | |
B | 06/22/2015 - 12/09/2015 | CHARLOTTE, NC | |
B | 03/27/2008 - 05/05/2008 | ATLANTA, GA |
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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.
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.