Thomas Christopher Krempley
Professional Summary
Thomas Christopher Krempley, who also goes by Thomas C Kempley, Tom Krempley, is a registered financial advisor currently at STONEX SECURITIES INC. located in Lake Villa, Illinois. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas C Kempley, Tom Krempley
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.
Contact Information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243Phone Number
(800) 292-2411Established
Delaware since 01/22/2002Firm Type
CorporationFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | — |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER / CEO | 3037932 |
| SHEA, KEVIN | SECRETARY | 8263627 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
Regulatory Event
9Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/1/2023)
(7/12/2024)
(8/18/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2023About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Christopher Krempley's CRS (Customer Relationship Summary).
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