Felix Lempert
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.
Felix Lempert was a registered financial professional .
Felix is a previously registered financial professional and started their career in finance in 1996. Felix had worked at 11 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
March 10, 2008 - April 4, 2016
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 1, 2005 - April 7, 2006
FRANKLIN DISTRIBUTORS, LLC
February 21, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 1, 2001 - November 15, 2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
April 10, 2000 - January 1, 2001
PERSHING LLC
November 11, 1998 - April 3, 2000
NEUBERGER BERMAN BD LLC
April 9, 1997 - November 19, 1998
UBS FINANCIAL SERVICES INC.
March 5, 1997 - April 28, 1997
IDS LIFE INSURANCE COMPANY
March 5, 1997 - April 28, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 1996 - October 1, 1996
ASH FINANCIAL CORP.
June 17, 1996 - September 14, 1996
TOLUCA PACIFIC SECURITIES CORP.
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
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
CRD#: 13594 / SEC#: , 8-29504
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEMPLETON WORLDWIDE, INC. | SHARE HOLDER | |
| CIEPRISZ, KENNETH DAVID | CHIEF COMPLIANCE OFFICER | 2303713 |
| DEAKYNE, WILLIAM SCOTT JR. | SENIOR VICE PRESIDENT AND DIRECTOR | 1861589 |
| GRAY, STEVEN JOEL | ASSISTANT SECRETARY | 849484 |
| MASOM, JEFFREY SCOTT | PRESIDENT AND DIRECTOR | 2870966 |
| PATERSON, DAVID | CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL | 7001546 |
| PLAFKER, JED ANDREW | DIRECTOR | 2793695 |
| ROSAS, VIRGINIA E | ASSISTANT SECRETARY | 5346920 |
| SHANEYFELT, GWEN LOUISE | TREASURER | 2668221 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
