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SK

Scott R. Kemmerling

Some features on this profile are disabled
CRD#: 2105289
SK

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.

Scott Ronald Kemmerling was a registered financial advisor .

Scott is a previously registered financial advisor and started their career in finance in 1991. Scott had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 19, 2004 - July 29, 2004

IFMG SECURITIES, INC.

RIA
CRD#: 14416
SHELBY TWP, MI
Past

March 18, 2004 - July 29, 2004

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

February 1, 1999 - January 21, 2004

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
FARMINGTON HILLS, MI
Past

February 1, 1999 - January 21, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

April 8, 1996 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

May 15, 1995 - March 21, 1996

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

October 3, 1994 - May 15, 1995

PRIM SECURITIES, INCORPORATED

BD
CRD#: 30504
INDEPENDENCE, OH
Past

January 7, 1994 - July 13, 1994

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

August 17, 1992 - May 12, 1993

NORTH AMERICAN FINANCIAL GROUP, INC.

BD
CRD#: 22273
WARREN, MI
Past

January 31, 1992 - July 24, 1992

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

March 4, 1991 - January 10, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 4, 1991 - January 10, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/8/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/1991
General Securities Representative Examination

Current Firm

IS
IFMG SECURITIES, INC.
IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: , 8-30670

BD
Terminated by SEC on 11/09/2008
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event5
Arbitration4

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.

Company Information

IFMG SECURITIES, INC.

CRD#: 14416

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