James Carpenter has been an investment adviser representative at Simplified Wealth Management since September 2020, and is not listed among the firm’s executive officers or direct owners.
Simplified Wealth Management, LLC is a Hattiesburg, MS firm with $226M under management, 712 clients and 7 advisers in one office, as of its February 2026 filing.
James Carpenter’s longest registration was 15 years at LPL Financial LLC (2004–2020). Before joining Simplified Wealth Management in 2020, James Carpenter was registered through LPL Financial LLC.
- Simplified Wealth ManagementCurrent– present · 6 yearsHattiesburg, MS · Adviser representative · Firm CRD 297059
- LPL Financial LLC– · 15 yearsHattiesburg, MS · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Carpenter is registered as an investment adviser representative in Mississippi, since September 2020.
- MississippiSince 4 September 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 25 January 2007 |
| Series 66 | Uniform Combined State Law Examination | 29 November 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 March 2002 |
| Series 7 | General Securities Representative Examination | 11 March 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Ray Carpenter
- CRD
- 4492120
- Firm
- Simplified Wealth Management · CRD 297059
- Office
- 14 ORLEANS DRIVE, Hattiesburg, MS 39402
- Registration
- Investment adviser registration
- In the industry since
- March 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does James Carpenter work?
James Carpenter is an investment adviser representative registered through Simplified Wealth Management, LLC since September 2020, and is not listed among the firm’s executive officers or direct owners.
Is James Carpenter a financial advisor?
Yes. James Carpenter has a current investment-adviser registration in Mississippi, through Simplified Wealth Management since September 2020.
How many years of experience does James Carpenter have?
James Carpenter has 24 years in the financial industry, since March 2002, across 2 adviser firms.
What exams has James Carpenter passed?
James Carpenter has passed 4 licensing exams: the Series 7, Series 63, Series 66 and Series 24. The earliest, the Series 7, was passed in March 2002. FINRA credited James Carpenter with the SIE, which began in October 2018.
Where is James Carpenter based?
James Carpenter’s registered office is in Hattiesburg, MS.
Is James Carpenter registered with FINRA?
No. James Carpenter has no current broker registration.
How can I verify James Carpenter’s record?
Search CRD 4492120 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Carpenter’s full registration record.