CK
Christopher C. Kempton
WELLTH ADVISORY SERVICES
Buffalo, NY 14032
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CRD#: 2132374
CK
Professional summary
Christopher Curtis Kempton, ChFC®, CLU® is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Buffalo, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1)01/01/2001 - DBA - Walsh Duffield Retirement Plan Solutions - 90% - INVESTMENT RELTATED - BUFFALO, NY 14203 2)04/2019 - Business Entity For Tax/Investment Purposes Only - SRP HOLDINGS GROUP, LLC - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 3)2001 - Non-Variable Insurance - CHRISTOPHER KEMPTON - 10% - INVESTMENT RELATED - BUFFALO, NY 14203 4)01/01/1997 - Family Partnership - Kempton of Chautauqua Partnership - 1% - INVESTMENT RELATED - CHATAQUA, NY 14722 5)01/01/2001 - Outside/W-2 Employment - Walsh Duffield Companies, Inc - 70% - INVESTMENT RELATED - BUFFALO, NY 14203 6)10/2015 - DBA - Strategic Retirement Partners - 0% - INVESTMENT RELATED - SHOREWOOD, IL 60404 7) 4/4/2019 - Global Retirement Partners - DBA: Strategic Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/2015 - 140 Hours Per Month During Securities Trading - I provide investment advisory services through Strategic Retirement Partners, an independent investment advisor firm. I started this business activity in 10/2015. I expect to spend approximately 140 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. TERMED 6/2024 8) 4/15/2019 - Global Retirement Partners - DBA: Walsh Duffield Retirement Plan Solutions - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 4/1/2019 - Time Spent 90%. Termed 6/2024 9) 4/15/2019 - Global Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR. Termed 6/2024 10)Independently licensed insurance agent. Volunteer engagements with: Schofield Residence: Treasurer; Not for profit Nursing Home. Clarence Industrial Development Agency: Chairman; Economic development NYS agency. United Way: Advocacy Committee.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Curtis Kempton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
June 28, 2024 - Present
WELLTH ADVISORY SERVICES, LLC
Office #1: 801 Main Street, Buffalo, NY 14032RIA
CRD#: 330537
Buffalo, NY
Past
April 1, 2019 - July 5, 2024
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Buffalo, NY
Past
April 1, 2019 - December 12, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
BUFFALO, NY
Past
April 19, 2016 - April 1, 2019
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
BUFFALO, NY
Past
July 31, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
BUFFALO, NY
Past
July 31, 2014 - April 1, 2019
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BUFFALO, NY
Past
June 18, 2014 - July 30, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
BUFFALO, NY
Past
February 26, 2010 - October 3, 2012
FINANCIAL TELESIS INC
RIA
CRD#: 31012
BUFFALO, NY
Past
October 15, 2009 - July 30, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
BUFFALO, NY
Past
September 27, 2001 - October 20, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BUFFALO, NY
Past
May 14, 1991 - September 14, 2001
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
Registered Investment Advisory firm - (4/26/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(6/28/2024)
IAR
Pennsylvania(7/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WA
WELLTH ADVISORY SERVICES, LLC
STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC
CRD#: 330537 / SEC#: 801-130037
RIA
Registered Investment Advisory firm - (4/26/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Shorewood, IL
Mailing Address
Phone number
(866) 777-4015
Established
Firm type
Fiscal year end
# of Employees
72
SEC notice filing (44 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,338 |
| AUM (Assets Under Management) | $ 23,574,040,155 |
Red Flags
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Company Information
WELLTH ADVISORY SERVICES, LLC
CRD#: 330537Buffalo, NY 14032TRUST BUT VERIFY
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