Katie Carpenter has been an investment adviser representative at TH Financial since January 2026, and is not listed among the firm’s executive officers or direct owners.
TH Financial, LLC is a firm with $105M under management, 54 clients and 2 advisers across 2 offices, as of its April 2026 filing.
Katie Carpenter’s longest registration was 7 years at Charles Schwab & Co., Inc. (2018–2026). Before joining TH Financial in 2026, Katie Carpenter was registered through Charles Schwab & Co., Inc.
- – present · under a yearFranklin, TN · Adviser representative · Firm CRD 334134
- Charles Schwab & Co., Inc.– · 7 yearsFranklin, TN · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Katie Carpenter is registered as an investment adviser representative in Tennessee, since January 2026.
- TennesseeSince 9 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 15 October 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 September 2018 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Katie Jo'Anne Carpenter
- CRD
- 6913334
- Firm
- TH Financial · CRD 334134
- Office
- Franklin, TN
- Registration
- Investment adviser registration
- In the industry since
- September 2018
- Disciplinary history
- Not yet shown here · SEC record
Where does Katie Carpenter work?
Katie Carpenter is an investment adviser representative registered through TH Financial, LLC since January 2026, and is not listed among the firm’s executive officers or direct owners.
Is Katie Carpenter a financial advisor?
Yes. Katie Carpenter has a current investment-adviser registration in Tennessee, through TH Financial since January 2026.
How many years of experience does Katie Carpenter have?
Katie Carpenter has 8 years in the financial industry, since September 2018, across 2 adviser firms.
What exams has Katie Carpenter passed?
Katie Carpenter has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2018. FINRA credited Katie Carpenter with the SIE, which began in October 2018.
Where is Katie Carpenter based?
Katie Carpenter’s registered office is in Franklin, TN.
Is Katie Carpenter registered with FINRA?
No. Katie Carpenter has no current broker registration.
How can I verify Katie Carpenter’s record?
Search CRD 6913334 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Katie Carpenter’s full registration record.