Richard M. Kemp
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.
Richard Michael Kemp was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 5 firms and has passed the Series 63, Series 7TO, 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 19, 2014 - November 23, 2021
ENLACE MARKETS, INC.
March 5, 2013 - August 22, 2014
BGC FINANCIAL, L.P.
April 2, 2012 - February 27, 2013
GFI SECURITIES LLC
April 1, 2009 - April 9, 2012
ENLACE MARKETS, INC.
April 2, 2008 - February 25, 2009
ABN AMRO INCORPORATED
July 24, 2007 - March 28, 2008
MORGAN STANLEY & CO. LLC
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 7TO
Date: 7/14/2022
General Securities Representative ExaminationCurrent Firm
ENLACE MARKETS, INC.
CRD#: 140814 / SEC#: , 8-67340
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ENLACE USA, INC. | SHAREHOLDER | |
| APPELSON, STUART DAVID | CFO-FINOP-CCO | 2176520 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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