Kramer B. Klabau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kramer Barnes Klabau was a registered financial professional .
Kramer is a previously registered financial professional and started their career in finance in 1983. Kramer had worked at 7 firms and has passed the Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2009 - December 31, 2013
IMS SECURITIES, INC.
June 30, 2003 - July 7, 2009
BRYAN FUNDING, INC.
August 22, 2001 - February 7, 2003
AUGMENT SECURITIES INC.
December 15, 1999 - September 5, 2001
NORTH COAST SECURITIES CORPORATION
June 28, 1988 - March 25, 1999
SEQUOIA EQUITIES SECURITIES CORPORATION
May 3, 1985 - January 27, 1988
PROMETHEUS CAPITAL, INC.
March 23, 1983 - January 22, 1986
TRANSGROUP SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
