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Detailed Report
ROBERT MICHAEL CARPENTER
CRD#: 5925384
IA
Investment Adviser
B
Broker
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCCRD#: 108257 Ponte Vedra Beach, FL
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.CRD#: 840 Ponte Vedra Beach, FL
Registration History
20122014201620182020202220242026IACOLUMBIA MANAGEMENT INVESTMENT... (CRD# 108257)2012 - Present (13 years)BCOLUMBIA MANAGEMENT INVESTMENT... (CRD# 840)2011 - Present (13 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2011 - 2011 (<1 year)
License(s)

State Registrations

B
Florida 12/13/2018
B
Georgia 12/13/2018
IA
Florida 12/19/2018
IA
Georgia 12/19/2018

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
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (CRD#:108257)
Ponte Vedra Beach, FL
Registered with this firm since 2/27/2012
B
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (CRD#:840)
Ponte Vedra Beach, FL
Registered with this firm since 12/8/2011
Previous Registration(s)
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B
 07/01/2011 - 09/13/2011 MORGAN STANLEY SMITH BARNEY (CRD#:149777) BOSTON, MA
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.