Michael Krompegal
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.
Michael Krompegal, who also goes by Michael Andrew Krompegal III, Michael Andrew Krompegal III, Micheal Andrew Krompegal Iii, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2003. Michael had worked at 2 firms and has passed the 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
September 25, 2015 - August 10, 2016
E*TRADE FUTURES LLC
August 22, 2003 - April 16, 2013
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
E*TRADE FUTURES LLC
CRD#: 145562 / SEC#: , 8-67735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | PARENT CO./SOLE SHAREHOLDER | |
| HERMANN, JAMES CLIFFORD | CHIEF COMPLIANCE OFFICER | 1697681 |
Disclosures
| Regulatory Event | 3 |
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.
