Curt Whipple (CRD #: 1657643), an investment adviser currently registered with Kalos Management and a broker formerly registered with Kalos Capital, Incorporated, is involved in a multi-client complaint regarding unsuitability, misrepresentation, and a lack of due diligence, according to his Investment Adviser Public Disclosure (IAPD), accessed August 19, 2020. Do you have questions about Curt Whipple’s record as a broker and investment adviser? Read on to find out more.
On June 19, 2020, multiple clients alleged that Curt Whipple made unsuitable recommendations, engaged in misrepresentation, and did not perform his duties with due diligence.
This is not the only disclosure in Curt Whipple’s IAPD record.
On April 24, 2017, a client alleged that Curt Whipple made unsuitable investment recommendations. The client sought $99,000 in damages; the dispute settled for $37,500.
On June 26, 2000, the National Association of Securities Dealers alleged that Curt Whipple failed to comply with FINRA Rule 2110 and NASD Rule 3030, by participating in outside business activities and failing to provide prompt, written notice to his firm. The NASD further alleges that Curt Whipple entered into settlement agreements with customer using his firm’s letterhead, without the firm’s knowledge or consent.
On June 30, 1998, Curt Whipple was discharged from Linsco/Private Ledger Corporation following allegations that Curt Whipple engaged in outside business activities, in violation of Rule 3270.
For more information on Rule 3270, see our page “Understanding FINRA Rule 3270: Undisclosed Outside Business Activities Can Land Brokers in Hot Water.”
Curt Whipple has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essential Examination, the Series 7 General Securities Representative Examination, Series 6 Investment Company Products/ Variable Contracts Representative Examination, and Series 24 General Securities Principal Examination.
Curt Whipple has worked in the securities industry for over three decades. In the course of his 32-year career, he has worked for the following firms:

  • Kalos Capital, Incorporated (CRD #:44337)
  • Investacorp, Incorporated (CRD #: 7684)
  • SPC (CRD #: 110692)
  • Sigma Financial Corporation (CRD #: 14303
  • Linsco/ Private Ledger Corporation (CRD #:6413)
  • Mariner Financial Services, Incorporated (CRD #: 8292)
  • Guardian Investor Services Corporation (CRD #: 6635)
  • Amev Investors, Incorporated (CRD #: 421)

If Curt Whipple was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.

Curt Whipple (CRD #: 1657643), an investment adviser currently registered with Kalos Management and a broker formerly registered with Kalos Capital, Incorporated, is involved in a multi-client complaint regarding unsuitability, misrepresentation, and a lack of due diligence, according to his Investment Adviser Public Disclosure (IAPD), accessed August 19, 2020. Do you have questions about Curt Whipple’s record as a broker and investment adviser? Read on to find out more.
On June 19, 2020, multiple clients alleged that Curt Whipple made unsuitable recommendations, engaged in misrepresentation, and did not perform his duties with due diligence.
This is not the only disclosure in Curt Whipple’s IAPD record.
On April 24, 2017, a client alleged that Curt Whipple made unsuitable investment recommendations. The client sought $99,000 in damages; the dispute settled for $37,500.
On June 26, 2000, the National Association of Securities Dealers alleged that Curt Whipple failed to comply with FINRA Rule 2110 and NASD Rule 3030, by participating in outside business activities and failing to provide prompt, written notice to his firm. The NASD further alleges that Curt Whipple entered into settlement agreements with customer using his firm’s letterhead, without the firm’s knowledge or consent.
On June 30, 1998, Curt Whipple was discharged from Linsco/Private Ledger Corporation following allegations that Curt Whipple engaged in outside business activities, in violation of Rule 3270.
For more information on Rule 3270, see our page “Understanding FINRA Rule 3270: Undisclosed Outside Business Activities Can Land Brokers in Hot Water.”
Curt Whipple has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essential Examination, the Series 7 General Securities Representative Examination, Series 6 Investment Company Products/ Variable Contracts Representative Examination, and Series 24 General Securities Principal Examination.
Curt Whipple has worked in the securities industry for over three decades. In the course of his 32-year career, he has worked for the following firms:

  • Kalos Capital, Incorporated (CRD #:44337)
  • Investacorp, Incorporated (CRD #: 7684)
  • SPC (CRD #: 110692)
  • Sigma Financial Corporation (CRD #: 14303
  • Linsco/ Private Ledger Corporation (CRD #:6413)
  • Mariner Financial Services, Incorporated (CRD #: 8292)
  • Guardian Investor Services Corporation (CRD #: 6635)
  • Amev Investors, Incorporated (CRD #: 421)

If Curt Whipple was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.