Marcus A. Kempton

SAMMONS FINANCIAL NETWORK

West Des Moines, IA 50266

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CRD#: 3074085

Professional summary

Marcus Andrew Kempton is a registered financial professional currently at SAMMONS FINANCIAL NETWORK, LLC located in West Des Moines, Iowa.

Marcus is registered as a RR (Registered Representative) and started their career in finance in 1998. Marcus has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcus Andrew Kempton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 6, 2012 - Present

SAMMONS FINANCIAL NETWORK, LLC

Office #1: 8300 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 158538

West Des Moines, IA

Past

June 27, 2011 - November 23, 2011

AEI SECURITIES, INC.

CRD#: 6158

ST. PAUL, MN

Past

June 27, 2008 - January 26, 2011

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

April 1, 2006 - June 20, 2008

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

August 17, 2004 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

December 22, 2000 - July 28, 2004

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

March 29, 2000 - December 31, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

November 25, 1998 - March 16, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(2/6/2012)

Kansas
(2/21/2012)

Missouri
(2/6/2012)

Nebraska
(2/7/2012)

Exams

State Security Law Exam

Series 63

Date: 1/6/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/13/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/13/2021

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8300 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

8300 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(855) 624-0180

Established

Delaware since 06/09/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SAMMONS SECURITIES, INC.	MANAGING MEMBER/ELECTED MANAGER
DYKHUIS, ARLEN GLENN	FINOP PRINCIPAL	5285074
LOWE, BILL LEO	PRESIDENT	2328135
SURETTE, STEPHANIE ANN	CHIEF COMPLIANCE OFFICER	5217627

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Marcus A. Kempton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcus Andrew Kempton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEI SECURITIES, INC.

SENTINEL FINANCIAL SERVICES COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

TOWER SQUARE SECURITIES, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

BANC ONE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 1/6/2003

SIE

Date: 10/1/2018

Series 6

Date: 11/13/1998

Series 26

Date: 5/13/2021

FINRA

Current Firm

SAMMONS FINANCIAL NETWORK, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SAMMONS FINANCIAL NETWORK, LLC

TRUST BUT VERIFY

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