Todd W. Lempe
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.
Todd William Lempe was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1986. Todd had worked at 4 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2009 - November 9, 2010
FORTA FINANCIAL GROUP, INC.
August 27, 1998 - April 26, 2004
FORTA FINANCIAL GROUP, INC.
May 7, 1993 - August 5, 1998
FORTA FINANCIAL GROUP, INC.
January 30, 1989 - May 9, 1989
L.F. THOMPSON & COMPANY
April 1, 1987 - January 23, 1989
BLINDER, ROBINSON & CO., INC.
December 1, 1986 - March 24, 1987
R.B. MARICH, 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
Series 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
