Cindy Carpenter is a registered investment advisor, based in Scottsdale, AZ, with 19 years of industry experience.
Location
14321 N. Northsight Blvd., Scottsdale, AZ, 85260
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Regulatory History (2)
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Financial
January 2020Final
Customer Dispute
January 2008Settled
Other Business Activities
Cindy is an employee of The Vanguard Group, Inc.
Employment History
Current Registrations
Vanguard Marketing CorporationBroker
March 2022 - Present · 4 yrs 6 mos
Vanguard Marketing Corporation
March 2022 - Present · 4 yrs 6 mos
Vanguard Advisers, INC.
March 2022 - Present · 4 yrs 6 mos
Previous Registrations
Matson Money, INC.
June 2019 - February 2022 · 2 yrs 8 mos
J.P. Morgan Securities LLC
November 2016 - February 2019 · 2 yrs 3 mos
J.P. Morgan Securities LLCBroker
November 2016 - February 2019 · 2 yrs 3 mos
Commonwealth Financial Network
September 2013 - October 2016 · 3 yrs 1 mo
Commonwealth Financial NetworkBroker
June 2013 - October 2016 · 3 yrs 4 mos
New England SecuritiesBroker
April 2008 - September 2008 · 5 mos
National Planning Corporation ("npc of America" in Fl & Ny)
January 2006 - March 2008 · 2 yrs 2 mos
National Planning CorporationBroker
March 2003 - March 2008 · 5 yrs
Fiserv Investor Services, INC.Broker
September 2002 - November 2002 · 2 mos
Cuso Financial Services, L.P.Broker
December 1999 - March 2000 · 3 mos
Wm Financial Services, INC.Broker
January 1999 - December 1999 · 11 mos
Griffin Financial ServicesBroker
July 1998 - January 1999 · 6 mos
Pruco Securities CorporationBroker
February 1996 - April 1996 · 2 mos
State Registrations3 states
AZCATX
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.