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Barry Lee Carpenter

Investment Adviser Representative at CASCADES CAPITAL ASSET MANAGEMENT, LLC

Greensboro, NCCRD #3222077Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
1 states
Exams Passed
3

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
North Carolina
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/3/2004
Series 66
Uniform Combined State Law Examination
Passed 7/15/1999
Series 7
General Securities Representative Examination
Passed 6/24/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.01
Source

Cascades Capital Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CASCADES CAPITAL ASSET MANAGEMENT, LLCCurrent
3/7/2014 – Greensboro, NC
OLD NORTH STATE TRUST, LLC
6/4/2004 – 3/12/2013Siler City, NC

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at CASCADES CAPITAL ASSET MANAGEMENT, LLC

2 other advisors in the directory

Jack Wilson Richardson Jr
Investment Adviser Representative
Dual-registered
Harry Albert Wellons
Investment Adviser Representative
Dual-registered
View CASCADES CAPITAL ASSET MANAGEMENT, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Barry Lee Carpenter has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.