Kenneth David Moelis
Professional Summary
Kenneth David Moelis, who also goes by Ken Moelis, is a registered financial advisor currently at MOELIS & COMPANY LLC located in Beverly Hills, California. Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1990. Kenneth has worked at 6 firms and has passed the Series 66, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kenneth David Moelis, Ken Moelis
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
38 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY
Contact Information
Main Address
399 Park Avenue 4th Floor, New York, NY 10022Mailing Address
399 Park Avenue 4th Floor, New York, NY 10022Phone Number
(212) 883-3800Established
Delaware since 06/12/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY, SOLE MEMBER | — |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
Regulatory Event
1Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(2/1/2008)
(1/2/2008)
(1/14/2008)
(2/7/2008)
(12/13/2007)
(1/18/2008)
(1/11/2008)
(1/17/2008)
(1/8/2008)
(2/4/2008)
(1/18/2008)
(4/14/2008)
(1/2/2008)
(2/8/2008)
(1/10/2008)
(1/7/2008)
(2/4/2008)
(1/3/2008)
(1/11/2008)
(3/13/2008)
(1/29/2008)
(1/1/2008)
(1/10/2008)
(1/2/2008)
(1/7/2008)
(1/7/2008)
(3/6/2008)
(2/29/2008)
(1/15/2008)
(1/8/2008)
(2/14/2008)
(1/29/2008)
(1/15/2008)
(1/16/2008)
(1/7/2008)
(1/7/2008)
(1/4/2008)
(3/14/2008)
(1/9/2008)
(1/31/2008)
(1/15/2008)
(1/8/2008)
(1/3/2008)
(5/8/2008)
(2/29/2008)
(1/7/2008)
(2/1/2008)
(1/11/2008)
(1/2/2008)
(1/3/2008)
(1/10/2008)
(1/3/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Kenneth David Moelis's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC