Christopher C. Kempisty
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.
Christopher Charles Kempisty was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 7 firms and has passed the Series 63, Series 55 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
September 8, 2006 - April 26, 2012
CHELSEA FINANCIAL SERVICES
December 15, 2005 - September 1, 2006
WAMU INVESTMENTS, INC.
September 8, 2004 - November 23, 2005
PARK AVENUE SECURITIES LLC
September 3, 2003 - June 25, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 29, 2002 - July 23, 2003
METROPOLITAN LIFE INSURANCE COMPANY
July 29, 2002 - July 23, 2003
MSI FINANCIAL SERVICES, INC.
October 7, 1999 - March 14, 2001
COWEN AND COMPANY
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
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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