Curtis L. Whipple
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.
Curtis Leroy Whipple, who also goes by Curt Whipple, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1987. Curtis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2012 - September 3, 2020
KALOS MANAGEMENT
November 9, 2012 - February 11, 2020
KALOS CAPITAL, INC.
March 12, 2010 - November 12, 2012
INVESTACORP ADVISORY SERVICES INC
October 16, 2008 - November 12, 2012
INVESTACORP, INC.
March 2, 2006 - October 15, 2008
SPC
July 31, 1998 - October 15, 2008
SIGMA FINANCIAL CORPORATION
May 3, 1993 - July 9, 1998
LPL FINANCIAL LLC
July 23, 1990 - May 3, 1993
MARINER FINANCIAL SERVICES, INC.
June 7, 1989 - July 27, 1990
GUARDIAN INVESTOR SERVICES LLC
May 1, 1987 - June 17, 1989
WOODBURY FINANCIAL SERVICES, 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
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
Red Flags
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