Kenneth M. Doolittle
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 Mark Doolittle was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1981. Kenneth had worked at 4 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1985 - September 20, 2005
MONTEREY BAY SECURITIES, INC.
March 29, 1985 - May 10, 1985
FIRST AFFILIATED SECURITIES, INC.
April 11, 1983 - February 25, 1985
MORGAN STANLEY DW INC.
December 11, 1981 - April 25, 1983
DERAND/PENNINGTON/BASS, INC.
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
Series 5
Date: 4/17/1984
Interest Rate Options ExaminationCurrent Firm
MONTEREY BAY SECURITIES, INC.
CRD#: 16274 / SEC#: , 8-33639
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Criminal | 1 |
| Arbitration | 3 |
| Judgment/Lien | 1 |
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.
