Raymond A. Kempf
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.
Raymond August Kempf was a registered financial advisor .
Raymond is a previously registered financial advisor and started their career in finance in 1968. Raymond had worked at 8 firms and has passed the Series 65, Series 63, Series 1, Series 51 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
July 30, 2013 - July 25, 2014
KESTRA INVESTMENT SERVICES, LLC
June 7, 2013 - July 25, 2014
KESTRA INVESTMENT SERVICES, LLC
September 4, 2009 - May 7, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - May 7, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 20, 1998 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
April 20, 1993 - December 9, 2010
KEMPF & COMPANY
May 29, 1987 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
August 10, 1981 - December 16, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
February 9, 1972 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 1, 1969 - May 17, 1976
GODWINS SECURITIES, INC.
November 26, 1968 - March 7, 1972
SYMETRA SECURITIES, INC.
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 1
Date: 11/14/1968
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
