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Edward Carpenter

Union Capital Company
25 Years of Experience
Tucson, AZ
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Edward Carpenter is a registered investment advisor at Union Capital Company, based in Tucson, AZ, with 25 years of industry experience. Edward is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Insurance Planning, Investment Management, Retirement Planning. Their firm serves 414 clients with $150M in assets under management.

Union Capital Company
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
10 advisors
Number of Clients
414 clients
Average Client Portfolio
$362K average
Assets Under Management
$150.0M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M2.00%
$5.0M - $10.0M1.75%
$10M+1.75%

Fees range from 0.60% to 2.00% for assets up to $5M, and 0.40% to 1.75% for assets between $5M and $10M. Fees are negotiable for accounts over $10M and depending on account size, prior relationship, or other factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6083 E. Grant Road, Tucson, AZ, 85712

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
November 2019
Final
Judgment / Lien
May 2019
Judgment / Lien
February 2019
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Edward sells Medicare insurance for Humana, dedicating about full-time hours per week. He also owns Money Benefit, PLLC and Final Expense Plus, PLLC, both insurance and fixed annuity businesses, but spends no time on them.

Employment History
Current Registrations
Union Capital Company
April 2017 - Present · 9 yrs 6 mos
Union Capital Company
April 2017 - Present · 9 yrs 6 mos
Union Capital CompanyBroker
April 2017 - Present · 9 yrs 6 mos
Previous Registrations
Farmers Financial Solutions, LLCBroker
March 2017 - April 2017 · 1 mo
Bbva Wealth Solutions INC.
January 2016 - June 2016 · 5 mos
Bbva Securities INC.Broker
May 2015 - June 2016 · 1 yr 1 mo
Parsonex Securities, INC.Broker
May 2014 - December 2014 · 7 mos
Union Capital CompanyBroker
May 2011 - May 2012 · 1 yr
Allstate Financial Services, LLCBroker
October 2009 - March 2010 · 5 mos
Union Capital CompanyBroker
September 2007 - December 2008 · 1 yr 3 mos
First Command Financial Planning, INC.Broker
February 2007 - May 2007 · 3 mos
Legend Equities CorporationBroker
July 2006 - February 2007 · 7 mos
Sentra Securities CorporationBroker
May 2004 - July 2004 · 2 mos
Spelman & CO., INC.Broker
May 2004 - July 2004 · 2 mos
Sunamerica Securities, INC.Broker
May 2004 - July 2004 · 2 mos
Wm Financial Services, INC.Broker
April 2003 - October 2003 · 6 mos
Ash Securities Wholesaling, INC.Broker
March 2003 - March 2003 · 0 mos
Allstate Financial Services, LLCBroker
October 2002 - January 2003 · 3 mos
Natcity Investments, INC.Broker
May 2001 - July 2002 · 1 yr 2 mos
Terra Securities CorporationBroker
October 2000 - April 2001 · 6 mos
Primevest Financial Services, INC.Broker
March 1998 - September 2000 · 2 yrs 6 mos
Prudential Securities IncorporatedBroker
April 1997 - February 1998 · 10 mos
Dean Witter Reynolds INC.Broker
September 1996 - March 1997 · 6 mos
PFS Investments INC.Broker
September 1991 - April 1996 · 4 yrs 7 mos
State Registrations6 states
AZCTFLIDNMSD
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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