Carl John Kempf

Current Employers

Carissima Capital Llc

Troy, NY • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-02-03

NY RA
APPROVED

Since 2025-02-03

Branch Locations

Troy, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Research Foundation For Suny (Cnse Operations Center)	Albany	NY	02/2009	01/2017
County Of Rensselaer	East Greenbush	NY	06/2018	Present
Attorney	Hoosick Falls	NY	02/2017	05/2018
Carissima Capital Llc	Troy	NY	04/2024	Present

02/2009 → 01/2017

The Research Foundation For Suny (Cnse Operations Center)

Albany, NY
06/2018 → Present

County Of Rensselaer

East Greenbush, NY
02/2017 → 05/2018

Attorney

Hoosick Falls, NY
04/2024 → Present

Carissima Capital Llc

Troy, NY

Previous Registrations

2024-04-19 → 2024-12-31

Carissima Capital Llc

Troy, NY

Other Businesses

Solo Law Practice; Non-investment-related; 7 Stoneledge Drive 6, Troy, NY 12182; Law Practice; Attorney; Self-employed; 01/2019; 5 hours/month; 0 hours; practice of law.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2002-10-17

S63 Uniform Securities Agent State Law Examination

2002-10-17

Designations

View on SEC IAPD