Barry Lee Carpenter

Employer firm

Cascades Capital Asset Management, LLC CRD 167102

$383M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Cascades Capital Asset Management, Llc

1840 Pembroke Road Suite 1, Greensboro, NC 27408 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2014-03-07

NC RA
APPROVED

Since 2014-03-07

Branch Locations

1840 Pembroke Road Suite 1, Greensboro, NC 27408 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cascades Capital, Llc	Greensboro	NC	03/2013	Present

03/2013 → Present

Cascades Capital, Llc

Greensboro, NC

Previous Registrations

2004-06-04 → 2013-03-12

Old North State Trust, Llc

Siler City, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-06-03
S66	Uniform Combined State Law Examination	1999-07-15

S65 Uniform Investment Adviser Law Examination

2004-06-03
S66 Uniform Combined State Law Examination

1999-07-15

View on SEC IAPD

Employer firm

Current Employers

Cascades Capital Asset Management, Llc

Disclosures

Employment History

Previous Registrations

Exams

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