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Frank E Carpentiere

Edward Jones

Smithtown, NY

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-21
NY RA APPROVED 2023-08-18
  • TX RA
    APPROVED_RES
    Since 2023-08-21
  • NY RA
    APPROVED
    Since 2023-08-18

Branch Locations

222 Middle Country Rd Suite 318, Smithtown, NY 11787-0000 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Syosset NY 09/2011 07/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville NY 07/2020 08/2023
Bank Of America, N.A. Melville NY 07/2020 08/2023
Edward Jones St Louis MO 08/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-05-15
S63 Uniform Securities Agent State Law Examination 1997-05-02
  • S65 Uniform Investment Adviser Law Examination
    2020-05-15
  • S63 Uniform Securities Agent State Law Examination
    1997-05-02
Other Names
  • Frank Edward Carpentiere

View on SEC IAPD

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Other Offices

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CETERA INVESTMENT ADVISERS LLC · SMITHTOWN, NY
LPL FINANCIAL LLC · SMITHTOWN, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · SMITHTOWN, NY
STATE FARM INVESTMENT MANAGEMENT CORP. · Smithtown, NY
COMMONWEALTH FINANCIAL NETWORK · Smithtown, NY
OSAIC WEALTH, INC. · SMITHTOWN, NY

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