John B. Kemp Iii
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.
John Bartlett Kemp Iii III, who also goes by John B Kemp III, John Bartlett Kemp III, John Bartlett Kemp, John B Kemp Iii Iii, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 4 firms and has passed the Series 65, Series 5, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2014 - November 27, 2018
SIMON QUICK ADVISORS, LLC
November 6, 1998 - August 25, 2006
MORGAN STANLEY DISTRIBUTORS INC.
November 1, 1968 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
December 28, 1967 - August 14, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SIMON QUICK ADVISORS, LLC
CRD#: 132330 / SEC#: 801-63357
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 5
Date: 10/16/1982
Interest Rate Options ExaminationSeries 1
Date: 12/22/1967
Registered Representative ExaminationCurrent Firm
SIMON QUICK ADVISORS, LLC
CRD#: 132330 / SEC#: 801-63357
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,710 |
| AUM (Assets Under Management) | $ 7,072,626,223 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 10/11/2024 | ||
| 09/26/2023 |
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.
