Kenneth J. Nigg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Joe Nigg, who also goes by Ken Nigg, Kenneth Nigg, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2004 - November 25, 2019
TRADINGBLOCK
September 19, 2003 - May 28, 2004
CARIS & COMPANY, INC.
February 2, 1993 - August 5, 2003
CHARLES SCHWAB & CO., INC.
February 10, 1992 - October 23, 1992
COMMONWEALTH INSTITUTIONAL SECURITIES, INC.
February 7, 1987 - January 22, 1992
FIDELITY BROKERAGE SERVICES LLC
January 9, 1986 - August 21, 1986
SPRINGER INVESTMENT & SECURITIES CO., INC.
January 4, 1984 - January 22, 1992
FIDELITY BROKERAGE SERVICES LLC
October 26, 1983 - June 1, 1984
PRUCO SECURITIES, LLC.
August 20, 1981 - June 29, 1982
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
