Paul CarpenterCRD Number: 1884935
Current Firm: H.d. Vest Advisory Services, Inc.
Paul Carpenter (CRD# 1884935) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Johnstown, PA and has over 28 years of experience in the finance industry. Paul Carpenter has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Cadaret Grant & Co Inc.
Lpl Financial LLC
Mml Investors Services, LLC
|Time-crump Life Insurance Services||Charlotte, NC||Jan 2014 - Current||3|
|H D Vest Insurance Agency||Irving, TX||Aug 2013 - Current||4|
|H.d. Vest Advisory Services||Johnstown, PA||Mar 1991 - Current||26|
|H.d. Vest Investment Services||Johnstown, PA||Sep 1988 - Current||28|
|Mutual Trust Life Insurance Agent||Johnstown, PA||Feb 2012 - Jun 2012||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1988|
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 Management9,187MILLIONS
Total Number of Accounts50,531ACCOUNTS
Average Account Value$181,805
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV