Samuel Gerard Carpenter

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2000 → 09/2025
  Avantax Investment Services, Inc.
  Johnstown, PA
• 12/2014 → Present
  Minnesota Life Insurance Company
  St. Paul, MN
• 05/2011 → Present
  Greater Beneficial Union Of Pittsburgh
  Pittsburgh, PA
• 07/2018 → Present
  Isda Fraternal Association
  Pittsburgh, PA
• 08/2000 → 09/2025
  Avantax Advisory Services
  Johnstown, PA
• 04/2000 → 09/2025
  Avantax Insurance Agency, Llc
  Johnstown, PA
• 06/2014 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services.
  Dallas, TX
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Johnstown, PA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2000-08-09 → 2025-09-05
  Avantax Advisory Services
  Johnstown, PA
  Johnstown, PA

Other Businesses

1) Minnesota Life Insurance Company~400 Robert Street North~St. Paul~MN~55101-2098~Independent Insurance Agent~Financial Advisor/Consultant~12/12/2014~1hrs~1hrs~To provide life insurance 2) Carpenter Financial Services Inc~237 Johns Street, Suite 3~Johnstown~PA~15901~Other~Other~10/7/2014~160hrs~150hrs~Operational and/or Marketing Name for HD Vest Services 3) Cincinnati Life~PO BOx 145496~Cincinnati~OH~45250~Independent Insurance Agent~Insurance Sales Agent~9/1/2011~1hrs~1hrs~Term insurance 4) National Guardian Life~2 East Gilman Street, PO Box 1031~Madison~WI~53701~Independent Insurance Agent~Insurance Sales Agent~8/10/2011~1hrs~1hrs~Funeral Life Insurance Trust 5) Greater Beneficial Union of Pittsburgh~4254 Clariton Blvd.~Pittsburgh~PA~15227~Independent Insurance Agent~Insurance Sales Agent~5/13/2011~2hrs~2hrs~Offer fixed annuity products. 6) Carpenter Financial~237 Johns Street, Suite 3~Johnstown~PA~15901~Real Estate/Mortgage/Title Services/Appraisal~Partner/General Partner~2/1/2004~0hrs~hrs~mortgage 7) Samuel G. & Patricia S. Carpenter~237 Johns Street, Suite 3~Johnstown~PA~15901~Real Estate/Mortgage/Title Services/Appraisal~Owner/Sole Proprietor~7/1/2006~5hrs~1hrs~manage the property 8) ISDA Fraternal Association~419 Wood Street~Pittsburgh~PA~15222-1825~Insurance Agent~Agent~7/23/2018~1hrs~1hrs~Offering clients life insurance and deferred/fixed annuities through ISDA 9) WESTVIEW CENTER LLC; POSITION: Partner NATURE: Office building at 237 Johns Street Johnstown, PA; Acquired 1/1/2020; Pay office expenses, collect rent, maintain building INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020; ADDRESS: 237 Johns Street, Suite 3, Johnstown PA 15901; Collect rent, pay bills, maintain building; Acquired building from my mother. This is is office building that houses the office.

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-10-01

Designations

• Certified Financial Planner
• Personal Financial Specialist

Other Names

• Samuel Gerard Carpenter