Carol Pinkus Krempley
Professional Summary
Carol Pinkus Krempley, who also goes by Carol M Krempleypinkus, Carol Miriam Pinkus, is a registered financial advisor currently at STONEX SECURITIES INC. located in Dublin, Ohio. Carol is registered as a RR (Registered Representative) and started their career in finance in 1981. Carol has worked at 8 firms and has passed the Series 63, SIE, Series 15, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol M Krempleypinkus, Carol Miriam Pinkus
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.
Contact Information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Phone Number
(800) 292-2411Established
Delaware since 01/22/2002Firm Type
CorporationFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | — |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER / CEO | 3037932 |
| SHEA, KEVIN | SECRETARY | 8263627 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
Regulatory Event
9Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/27/2022)
(3/5/2020)
(1/13/2020)
(1/26/2015)
(1/2/2026)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2022)
(9/12/2014)
(5/28/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Mar 1985Series 22 — Direct Participation Programs Representative Examination
Passed Nov 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1981About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carol Pinkus Krempley's CRS (Customer Relationship Summary).
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