Kay A. Kemp
Professional summary
Kay Ann Kemp, who also goes by Kay Kemp, Kay Ann Sirdoreus, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Des Moines, Iowa.
Kay is registered as a RR (Registered Representative) and started their career in finance in 1995. Kay has worked at 13 firms and has passed the Series 65, Series 99TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kay Ann Kemp's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 4140 Grand Ave., Des Moines, IA 50312December 15, 2023 - April 11, 2024
AEL FINANCIAL SERVICES, LLC
June 2, 2023 - October 5, 2023
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
December 8, 2016 - June 29, 2018
DIRECTED SERVICES LLC
December 8, 2016 - December 31, 2020
SLD AMERICA EQUITIES, INC.
December 8, 2016 - July 7, 2021
VOYA FINANCIAL PARTNERS, LLC
May 20, 2016 - July 7, 2021
VOYA FINANCIAL ADVISORS, INC.
January 11, 2016 - May 18, 2016
INTEGRITY ALLIANCE, LLC.
May 11, 2012 - April 8, 2014
CETERA FINANCIAL SPECIALISTS LLC
September 11, 2007 - April 8, 2014
CETERA ADVISORS LLC
September 11, 2007 - April 8, 2014
CETERA WEALTH SERVICES, LLC
November 6, 2003 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
October 2, 2001 - December 31, 2003
LOCUST STREET SECURITIES, INC.
January 25, 1995 - September 28, 2001
PRINCIPAL SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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Company Information
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543Des Moines, IA 50312TRUST BUT VERIFY
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