Charles P. Kempf
Professional summary
Charles Perlitz Kempf was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Charles is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Charles had worked at 4 firms, which includes RONIN CAPITAL LLC, TD PROFESSIONAL EXECUTION INC., CITIGROUP GLOBAL MARKETS INC., LIPPER CONVERTIBLES L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2002 - February 13, 2007
RONIN CAPITAL, LLC
November 13, 1997 - December 5, 2000
TD PROFESSIONAL EXECUTION, INC.
July 30, 1996 - September 24, 1996
CITIGROUP GLOBAL MARKETS INC.
July 11, 1995 - July 10, 1996
LIPPER CONVERTIBLES, L.P.
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
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
Red Flags
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