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Philip N. Chesler

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CRD#: 3225145
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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.

Philip Norman Chesler was a registered financial professional .

Philip is a previously registered financial professional and started their career in finance in 2000. Philip had worked at 6 firms and has passed the Series 63, Series 7, Series 22 and Series 55 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2013 - October 30, 2013

KPG CAPITAL PARTNERS, LLC

BD
CRD#: 165392
PARK CITY, UT
Past

September 10, 2012 - June 4, 2013

INTER SECURITIES LTD.

BD
CRD#: 40733
SAN FRANCISCO, CA
Past

February 24, 2012 - May 17, 2012

BRI PARTNERS LLC

BD
CRD#: 114514
CHICAGO, IL
Past

November 6, 2006 - February 29, 2008

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

October 6, 2005 - February 24, 2006

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL
Past

May 15, 2000 - September 4, 2001

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 2/23/2012
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 5/17/2001
Limited Representative-Equity Trader Exam

Current Firm

KC
KPG CAPITAL PARTNERS, LLC
KPG CAPITAL PARTNERS, LLC

CRD#: 165392 / SEC#: , 8-69158

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1389 Center Drive Suite 200, Park City, UT 84098
Mailing Address
1389 Center Drive Suite 200, Park City, UT 84098
Phone number
(212) 588-8889
Established
Delaware since 12/11/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GETTINGER, KENNETH PAULMANAGING MEMBER, EXECUTIVE REP., & GSP1511817
BUSHMAN, SHAUNA NMNCHIEF COMPLIANCE OFFICER, FINOP/CFO, CE OFFICER, AML OFFICER & GSP5231277

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.

Company Information

KPG CAPITAL PARTNERS, LLC

CRD#: 165392

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