TK
Thomas C. Kemp
ALLY INVEST ADVISORS
Greer, SC
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CRD#: 6287138
TK
Professional summary
Thomas Christopher Kemp, who also goes by Chris Kemp, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Greer, South Carolina and ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Kemp
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.
Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Senior Specialist - Invest Advisor. Dually licensed. 04/25/2022. 40+ hrs/month. Monitor and execute daily trading activities for AIA Robo and Wealth accounts. Liaison between service and trading to solve client inquiries and issues. Simply Blair. Non-Investment related. 5150 Wakehurst Street Kannapolis NC 28081. Treasurer. 04/18/2023. 1 hr/month. My wife is a beauty vlogger & has a content creation channel via Youtube, Instagram, and TikTok
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Christopher Kemp'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
October 7, 2021 - Present
ALLY INVEST ADVISORS
RIA
CRD#: 170301
Greer, SC
Current
June 3, 2021 - Present
ALLY INVEST SECURITIES LLC
Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202BD
CRD#: 136131
Charlotte, NC
Past
August 7, 2020 - May 10, 2021
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
SALISBURY, NC
Past
August 7, 2020 - May 10, 2021
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
SALISBURY, NC
Past
June 27, 2016 - July 10, 2020
FIRST HORIZON ADVISORS, INC.
RIA
CRD#: 17117
Spartanburg, SC
Past
June 27, 2016 - July 10, 2020
FIRST HORIZON ADVISORS, INC.
BD
CRD#: 17117
Spartanburg, SC
Past
August 20, 2014 - June 29, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
MORRISVILLE, NC
Past
May 14, 2014 - June 29, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
MORRISVILLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
Registered Investment Advisory firm - (3/27/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/3/2021)
RR
Alaska(6/3/2021)
RR
Arizona(6/3/2021)
RR
Arkansas(6/3/2021)
RR
California(6/3/2021)
RR
Colorado(6/3/2021)
RR
Connecticut(6/3/2021)
RR
Delaware(6/3/2021)
RR
District of Columbia(6/3/2021)
RR
Florida(6/3/2021)
RR
Georgia(6/3/2021)
RR
Hawaii(6/3/2021)
RR
Idaho(6/3/2021)
RR
Illinois(6/3/2021)
RR
Indiana(6/3/2021)
RR
Iowa(6/3/2021)
RR
Kansas(6/3/2021)
RR
Kentucky(6/3/2021)
RR
Louisiana(6/3/2021)
RR
Maine(6/3/2021)
RR
Maryland(6/3/2021)
RR
Massachusetts(6/3/2021)
RR
Michigan(6/3/2021)
RR
Minnesota(6/3/2021)
RR
Mississippi(6/3/2021)
RR
Missouri(6/3/2021)
RR
Montana(6/3/2021)
RR
Nebraska(6/3/2021)
RR
Nevada(6/3/2021)
RR
New Hampshire(6/3/2021)
RR
New Jersey(6/3/2021)
RR
New Mexico(6/3/2021)
RR
New York(6/3/2021)
RR
North Carolina(6/4/2021)
IAR
North Carolina(10/7/2021)
RR
North Dakota(6/3/2021)
RR
Ohio(6/4/2021)
RR
Oklahoma(6/3/2021)
RR
Oregon(6/3/2021)
RR
Pennsylvania(6/3/2021)
RR
Puerto Rico(6/3/2021)
RR
Rhode Island(6/3/2021)
RR
South Carolina(6/3/2021)
RR
South Dakota(6/3/2021)
RR
Tennessee(6/3/2021)
RR
Texas(6/3/2021)
RR
Utah(6/3/2021)
RR
Vermont(6/3/2021)
RR
Virginia(6/3/2021)
RR
Washington(6/3/2021)
RR
West Virginia(6/3/2021)
RR
Wisconsin(6/3/2021)
RR
Wyoming(6/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ALLY INVEST ADVISORS
ALLY INVEST ADVISORS | TRADEKING ADVISORS, INC. | ONE MARKET ADVISORS, LLC | ONE MARKET ADVISORS, INC. | ONE MARKET ADVISORS | ALLY INVEST ADVISORS INC
CRD#: 170301 / SEC#: 801-79305
RIA
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Contact information
Main Address
601 S. Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
Phone number
(855) 880-2559
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
