CARPENTER, RICHARD KEVIN
Legal name: ADVANCED GROUP FINANCIAL SERVICES
CRD #125300 SEC #801-67814 UTICA, NY 315-733-1010
SEC Registered
Total AUM
$27.4M
Discretionary
$27.4M
Employees
5
Clients
0
Accounts
110
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 9, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CARPENTER, RICHARD, KEVIN | I | SOLE PROPRIETOR, CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Apr 9, 2007 REGISTERED
Notice Filings (2)
FL NY
Address
2508 GENESEE STREETUTICA, NY 13502
USA
Phone: 315-733-1010