William Carpenter
William Carpenter is a registered investment advisor at Centaurus Financial, INC., based in Birmingham, AL, with 39 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, Financial Planning & Coaching, High Net Worth, and 2 more. Their firm serves 38,049 clients with $7.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Centaurus Financial's advisors manage client accounts through various programs, charging an annual fee based on the amount invested. Fees are negotiable and can be a flat percentage or tiered, where the rate decreases as the portfolio value increases. Additional charges may include transaction fees, custodial fees, and internal fund fees.
Maximum advisory fees:
- Alpha, Beta, ABJ, Omega, Delta: 2.25%
- AA & VL: 1.50%
- Adviser-Directed: 1.35%
- FlexUMA: 2.25%
Third-Party Money Managers (TPMMs) charge fees ranging from 1.00% to 3.00%.
Location
4000 Eagle Point Corporate Drive, Birmingham, AL, 35242
Get directionsHistory
Regulatory History (2)
Civil
November 2022Criminal
April 1985Other Business ActivitiesSells Insurance
William sells fixed insurance and annuities through Equitrust, dedicating minimal time to this activity. He also owns Carpenter Financial Services for branding purposes and sells fixed and term life insurance through Western Reserve Life, spending minimal time on this as well.
Employment History
Current Registrations
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Previous Registrations
Intersecurities, INC.
Intersecurities, INC.Broker
Centaurus Financial, INC.Broker
Proequities, INC.Broker
Regions Investment Company, INC.Broker
Universal Securities CorporationBroker
Sterne, Agee & Leach, INC.Broker
Johnson, Lane, Space, Smith & CO., INC.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.