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DK

David F. Kempton

AMERICAN CAPITAL PARTNERS
Atlanta, GA 30328
Some features on this profile are disabled
CRD#: 834356
DK

Professional summary

David Felt Kempton is a registered financial professional currently at AMERICAN CAPITAL PARTNERS, LLC located in Atlanta, Georgia.

David is registered as a RR (Registered Representative) and started their career in finance in 1977. David has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Felt Kempton's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 1, 2013 - Present

AMERICAN CAPITAL PARTNERS, LLC

Office #1: 6000 Lake Forrest Drive N.w. Suite# 325, Atlanta, GA 30328
BD
CRD#: 119249
Atlanta, GA
Past

February 12, 2013 - December 21, 2015

PARTNERS CAPITAL SERVICES, INC.

RIA
CRD#: 127621
HAUPPAUGE, NY
Past

January 17, 2012 - January 31, 2013

L.M. KOHN & COMPANY

RIA
CRD#: 27913
ATLANTA, GA
Past

January 17, 2012 - January 31, 2013

L.M. KOHN & COMPANY

BD
CRD#: 27913
ATLANTA, GA
Past

January 12, 2011 - January 17, 2012

MIDSOUTH CAPITAL, INC.

RIA
CRD#: 35039
ATLANTA, GA
Past

August 11, 2009 - December 31, 2010

MIDSOUTH CAPITAL, INC.

RIA
CRD#: 35039
ATLANTA, GA
Past

August 11, 2009 - January 17, 2012

MIDSOUTH CAPITAL, INC.

BD
CRD#: 35039
ATLANTA, GA
Past

November 19, 2003 - April 2, 2009

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
ATLANTA, GA
Past

January 13, 2001 - April 2, 2009

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
ATLANTA, GA
Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

August 5, 1997 - August 15, 1997

SUNTRUST CAPITAL MARKETS, INC.

BD
CRD#: 36888
ATLANTA, GA
Past

October 22, 1985 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

October 16, 1984 - March 3, 1986

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

May 21, 1984 - October 8, 1984

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

March 1, 1977 - July 5, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Georgia
(2/1/2013)
RR
South Carolina
(2/1/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/22/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1977
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AC
AMERICAN CAPITAL PARTNERS, LLC
ACP INVESTMENTS, LLC | AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249 / SEC#: , 8-65165

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
205 Oser Ave., Hauppauge, NY 11788
Mailing Address
205 Oser Ave., Hauppauge, NY 11788
Phone number
(631) 851-0918
Established
New York since 12/21/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CENTURY MANAGEMENT LLCPARENT CO.
CAHILL, EDWARD MICHAEL JRPRESIDENT, GSP2310758
GARDINI, ANTHONY MICHAEL JRCHAIRMAN, CEO, GSP1893107
GARDINI, JOHN CHARLESCCO, CROP, AML, MP2408960
PICERNO, JOHNHEAD TRADER2490554
SIMONE, ANTHONY PHILIPFINOP, CFO1514066

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249Atlanta, GA 30328

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