Kenneth L. Mathis
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 Louis Mathis, who also goes by Kenneth L Mathis, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2012 - February 14, 2025
HARDY REED, LLC
January 23, 2006 - April 28, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
June 29, 1999 - April 28, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
March 18, 1988 - June 17, 1999
MORGAN KEEGAN & COMPANY, LLC
November 13, 1987 - March 19, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
August 23, 1981 - April 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
HARDY REED, LLC
CRD#: 141024 / SEC#: 801-66976
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
HARDY REED, LLC
CRD#: 141024 / SEC#: 801-66976
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 365 |
| AUM (Assets Under Management) | $ 2,357,448,960 |
Red Flags
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