Kathleen Carpenter
Kathleen Carpenter is a CFP-designated registered investment advisor at Allworth Financial, L.P., based in Folsom, CA, with 33 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 26,325 clients with $25B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Allworth Financial offers investment management services through a wrap fee program and a non-wrap fee program. You'll pay a percentage of your portfolio each quarter, billed in advance. The exact percentage depends on the type and amount of your investments. There's a $2,500 minimum annual fee. The maximum fee charged is 2.00%. The wrap fee covers advisory services and most trade execution fees. The non-wrap fee program covers advisory services, but does not include trade execution fees.
Location
340 Palladio Pkwy., Suite 501, Folsom, CA, 95630
Get directionsHistory
Regulatory History (2)
Customer Dispute
January 2017Customer Dispute
July 2016Other Business ActivitiesSells Insurance
Kathleen is involved with Redrock Financial and Insurance Services, Inc. selling non-variable insurance, dedicating minimal time. She also owns AJB Legacy, Inc., a real estate rental business, spending minimal time on it.
Employment History
Current Registrations
Allworth Financial, L.P.
Aw SecuritiesBroker
Aw Securities
Previous Registrations
Aw Securities
LPL Financial LLCBroker
LPL Financial LLC
Intersecurities, INC.
Intersecurities, INC.Broker
Pruco Securities CorporationBroker
Mutual of Omaha Fund Management CompanyBroker
State Registrations12 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.