Curt Kramer
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.
Curt Kramer was a registered financial professional .
Curt is a previously registered financial professional and started their career in finance in 1998. Curt had worked at 7 firms and has passed the Series 63 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 4, 2002 - July 1, 2002
DPEC CAPITAL, INC.
May 1, 2001 - February 19, 2002
SOMERSET FINANCIAL GROUP, INC.
January 25, 2001 - May 10, 2001
HAPOALIM SECURITIES USA, INC.
March 10, 2000 - January 22, 2001
MONTROSE CAPITAL MANAGEMENT LTD.
June 2, 1999 - April 10, 2000
WEATHERLY SECURITIES CORPORATION
September 14, 1998 - June 1, 1999
BLUESTONE CAPITAL CORP.
January 15, 1998 - September 18, 1998
BARINGTON CAPITAL GROUP, 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
DPEC CAPITAL, INC.
CRD#: 103737 / SEC#: , 8-52230
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
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.
