Christopher R. Kempton
Professional summary
Christopher Richard Kempton, who also goes by Christopher R Kempton, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Richard Kempton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 11 Madison Avenue, New York, NY 10010October 25, 2011 - May 23, 2016
CREDIT SUISSE SECURITIES (USA) 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
(5/19/2025)
Exams
Series 7TO
Date: 3/31/2025
General Securities Representative ExaminationFINRA
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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