Stephen J. Kipp
Professional summary
Stephen Joseph Kipp was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Stephen had worked at 7 firms, which includes NPB FINANCIAL GROUP LLC, NATIONAL PLANNING CORPORATION, KIPP FINANCIAL GROUP INC., ASSOCIATED SECURITIES CORP., BATEMAN EICHLER HILL RICHARDS INCORPORATED, MORGAN STANLEY DW INC., BRETCOURT SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2015 - November 3, 2016
NPB FINANCIAL GROUP, LLC
August 17, 2015 - November 3, 2016
NPB FINANCIAL GROUP, LLC
August 16, 2010 - July 20, 2015
NPB FINANCIAL GROUP, LLC
January 20, 2000 - August 26, 2010
NATIONAL PLANNING CORPORATION
July 10, 1990 - August 25, 2017
KIPP FINANCIAL GROUP, INC.
March 14, 1990 - February 11, 2000
ASSOCIATED SECURITIES CORP.
September 2, 1987 - March 20, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 26, 1984 - September 10, 1987
MORGAN STANLEY DW INC.
March 28, 1984 - May 4, 1984
BRETCOURT 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
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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