IT
Iain Tester
KPMG CORPORATE FINANCE LLC
Austin, TX 78701
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CRD#: 5161022
IT
Professional summary
Iain Tester is a registered financial professional currently at KPMG CORPORATE FINANCE LLC located in Austin, Texas.
Iain is registered as a RR (Registered Representative) and started their career in finance in 2006. Iain has worked at 1 firm and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Iain Tester'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®
NoneExperience
Current
September 4, 2006 - Present
KPMG CORPORATE FINANCE LLC
Office #1: 111 Congress Avenue Suite 1900, Austin, TX 78701BD
CRD#: 103973
Austin, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Arizona(1/17/2008)
RR
Arkansas(1/17/2012)
RR
California(1/17/2012)
RR
Colorado(1/17/2012)
RR
Connecticut(1/17/2012)
RR
Delaware(1/17/2008)
RR
District of Columbia(1/17/2012)
RR
Florida(11/7/2007)
RR
Georgia(1/17/2008)
RR
Illinois(1/17/2008)
RR
Indiana(1/17/2012)
RR
Iowa(1/17/2012)
RR
Kentucky(1/17/2012)
RR
Louisiana(1/17/2008)
RR
Maryland(1/17/2008)
RR
Massachusetts(1/17/2012)
RR
Michigan(4/29/2010)
RR
Minnesota(1/17/2008)
RR
Mississippi(1/17/2012)
RR
Missouri(7/10/2009)
RR
Nevada(1/17/2012)
RR
New Jersey(1/17/2012)
RR
New York(1/17/2008)
RR
North Carolina(1/19/2012)
RR
Ohio(1/18/2008)
RR
Oregon(1/17/2008)
RR
Pennsylvania(1/17/2012)
RR
Puerto Rico(4/4/2014)
RR
Rhode Island(1/17/2008)
RR
Texas(3/29/2007)
RR
Vermont(1/17/2008)
RR
Virginia(1/17/2012)
RR
Washington(1/17/2012)
RR
West Virginia(1/17/2012)
RR
Wisconsin(1/17/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KC
KPMG CORPORATE FINANCE LLC
KPMC CORPORATE FINANCE LLC | KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Mailing Address
200 E. Randolph Street Suite 5500, Chicago, IL 60601-6436
Phone number
(312) 665-3100
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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