Carpion Private Wealth
601 State Street
Suite 240
Southlake, TX 76092
8172709668
About Carpion Private Wealth
The team at Carpion Private Wealth is dedicated to helping clients build, manage and protect their wealth with the specific goal of preserving it for the seamless transfer from one generation to the next.
WE CAN HELP YOU BUILD YOUR LEGACY.
After spending decades at one of the largest Financial Firms, and with legacy advisor roots dating back to 1982, we are proud to announce the launch of our independent wealth management firm, Carpion Private Wealth.
See Disclosures
General Information
Firm Start Year
2023
No. of Employees
5-9
CRD#
6205866
Firm CRD#
205
Insurance License#
1862808
Name of Broker/Dealer
Sanctuary Securities Inc.
Name of Custodial Firm
BNY Mellon - Pershing
States Licensed in
AZ, AR, CA, CO, FL, GA, HI, IN, MN, MO, NV, NM, NY, NC, OK, PA, TX, VT, WA
Years of Experience in Financial Services
25
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Advisory Services Provided
Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Tax Advice and Services, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, Money Management, Wealth Management, 401K Rollovers
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFA®, CDFA®
Securities Licenses
Series 7, Series 31, Series 66, Series 3
Insurance and Annuity Licenses
Variable Life, Accident, Annuity, Health, Life, Variable Annuity, Long Term Care
Firm Information
Assets Managed by Firm
$500,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$500,000
Compensation Methods
Based on Assets, Flat Fee
Disclosures
RothIRA.org provides referrals to financial professionals. RothIRA.org is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for RothIRA.org to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.rothira.org/disclosure/1892403/rothira-Carpion-Private-Wealth-detailed-disclosure.html
Disclaimer
Registered Representative of Sanctuary Securities Inc. and Investment Advisor Representative of Sanctuary Advisors, LLC. Securities offered through Sanctuary Securities, Inc., Member FINRA, SIPC. Advisory services offered through Sanctuary Advisors, LLC., an SEC Registered Investment Adviser. Carpion Private Wealth is a DBA of Sanctuary Securities, Inc. and Sanctuary Advisors, LLC.