Solomon D. Krispeal
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.
Solomon David Krispeal, who also goes by David Krispeal, was a registered financial professional .
Solomon is a previously registered financial professional and started their career in finance in 2006. Solomon had worked at 7 firms and has passed the Series 63, SIE 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
January 20, 2016 - June 4, 2019
PHX FINANCIAL, INC.
March 13, 2013 - February 9, 2016
LEGEND SECURITIES, INC.
April 19, 2012 - March 4, 2013
AEGIS CAPITAL CORP.
January 11, 2008 - April 16, 2012
JOHN THOMAS FINANCIAL
July 25, 2007 - January 9, 2008
NEWBRIDGE SECURITIES CORPORATION
August 15, 2006 - July 25, 2007
JHS CAPITAL ADVISORS, LLC
May 1, 2006 - August 24, 2006
GUNNALLEN FINANCIAL, 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
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| 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.
