Kempton M. Ingersol
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.
Kempton Marcus Ingersol was a registered financial professional .
Kempton is a previously registered financial professional and started their career in finance in 1993. Kempton had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2002 - January 6, 2024
BROWN CAPITAL MANAGEMENT, LLC
March 2, 1998 - May 25, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
June 19, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
October 17, 1996 - June 9, 1997
MURIEL SIEBERT & CO., LLC
June 30, 1994 - October 23, 1996
GRIGSBY & ASSOCIATES, INC.
September 13, 1993 - April 25, 1994
M. R. BEAL & COMPANY
Primary Firm SEC Registration
BROWN CAPITAL MANAGEMENT, LLC
CRD#: 105633 / SEC#: 801-19287
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
BROWN CAPITAL MANAGEMENT, LLC
CRD#: 105633 / SEC#: 801-19287
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109 |
| AUM (Assets Under Management) | $ 8,098,760,315 |
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.
