Carol P. Krempley
Professional summary
Carol Pinkus Krempley, who also goes by Carol M Krempleypinkus, Carol Miriam Pinkus, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Pinkus Krempley's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2014 - Present
STONEX SECURITIES INC.
August 18, 2003 - December 31, 2006
WRP INVESTMENTS, INC.
October 11, 1990 - September 12, 2014
WRP INVESTMENTS, INC.
February 1, 1990 - September 20, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
May 7, 1986 - March 29, 1988
KIDDER, PEABODY & CO. INCORPORATED
September 23, 1983 - May 14, 1986
TUCKER ANTHONY INCORPORATED
December 9, 1981 - September 13, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
December 9, 1981 - September 13, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 1981 - September 13, 1983
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/27/2022)
(3/5/2020)
(1/13/2020)
(1/26/2015)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2022)
(9/12/2014)
(5/28/2024)
Exams
Series 15
Date: 3/25/1985
Foreign Currency Options ExaminationFINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| 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 | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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