Kasper E. Mingo
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.
Kasper Evers Mingo, who also goes by Mingo Kasper, Kasper Mingo, was a registered financial professional .
Kasper is a previously registered financial professional and started their career in finance in 2011. Kasper had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2016 - July 6, 2017
KALOS MANAGEMENT
July 7, 2016 - July 6, 2017
KALOS CAPITAL, INC.
April 15, 2014 - April 8, 2016
MORGAN STANLEY
April 11, 2014 - April 8, 2016
MORGAN STANLEY
February 8, 2013 - March 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
February 8, 2013 - March 12, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2012 - February 1, 2013
MML INVESTORS SERVICES, LLC
June 16, 2011 - February 1, 2013
MML INVESTORS SERVICES, 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
Current Firm
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
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.
