Mitchell L. Kemper
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.
Mitchell Lee Kemper was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1983. Mitchell had worked at 6 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2010 - December 6, 2012
GBS FINANCIAL CORP.
January 15, 2008 - January 21, 2010
COMMONWEALTH FINANCIAL NETWORK
September 18, 1997 - October 12, 2000
CIBC WORLD MARKETS CORP.
June 5, 1995 - September 9, 1997
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1987 - May 23, 1995
UBS FINANCIAL SERVICES INC.
October 19, 1983 - January 14, 1988
E. F. HUTTON & COMPANY INC
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
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
