Articles Tagged with Mark Kemp

Mark KempPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Texas-based McNally Financial Services Corporation broker Mark Kemp has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kemp (CRD# 2057200).

Mark Kemp has spent 27years in the securities industry and has been registered with McNally Financial Services in San Antonio, Texas since 2010. Previous registrations include Next Financial Group in Corpus Christi, Texas (2008-2009); Hornor Townsend & Kent in Corpus Christi, Texas (1999-2008); Mony Securities Corporation in New York, New York (1990-1998); and the Mutual Life Insurance Company of New York in New York, New York (1990). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 7, 1990; Series 7 (General Securities Representative Examination), which he obtained on August 8, 2005; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 8, 1990. He is a registered broker with eight US states: Arkansas, California, Louisiana, New Mexico, Oklahoma, Oregon, South Carolina, and Texas.

According to his BrokerCheck report, he has received six customer complaints, one pending customer complaint, and one regulatory sanction, and he was discharged from two former employers in connection to alleged rule violations.