Robert CarpenterCRD Number: 1992563
Current Firm: Baltimore-washington Financial Advisors
Robert Carpenter (CRD# 1992563) is an Investment Advisor Representative working at Baltimore-washington Financial Advisors in Columbia, MD and has over 28 years of experience in the finance industry.
David Wealth Management, LLC
Blue Ocean Global Wealth
Commonwealth Financial Network
|Baltimore-washington Financial Advisors, Inc.||Columbia, MD||Jun 2012 - Current||6|
|Ameriprise Financial Services, Inc.||Minneapolis, MN||Jan 2011 - Jun 2012||1|
|Wachovia Securities, LLC||Baltimore, MD||Mar 2007 - Jan 2011||3|
|Ryan, Beck & Company, LLC||Baltimore, MD||Apr 2002 - Mar 2007||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1989|
|S65||NASAA Investment Advisors Law Examination||Feb 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management590MILLIONS
Total Number of Accounts501ACCOUNTS
Average Account Value$1,177,575
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
CA, DC, DE, FL, IL, MD, NC, NH, OH, PA, SC, TX, VA
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