Kenneth P. Dengler

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CRD#: 1022160

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 Peter Dengler was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 5, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

1.Jackson gore inn condo: Okemo Limited Liabilty Co; Investment related No; Ludlow, VT; Owner of a 1/4 share of a condo(proprietor, partner, officer, director, employee, trustee, agent); Dec 2003; During business hours: 0; After business hours: 0 *481219 - The People's Caucus of Briarcliff Manor; Investment related - No; Briarcliff Manor, New York; Government; Memeber at Large of executive committee (proprietor, partner, officer, director, employee, trustee, agent); 11/2021; During business hours: 0; After business hours: 1; Labor or Service

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 7, 2012 - February 13, 2024

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

July 27, 2012 - February 13, 2024

MORGAN STANLEY

CRD#: 149777

New York, NY

Past

July 1, 2010 - April 29, 2011

LEDGEMONT SECURITIES LLC

CRD#: 145009

NEW YORK, NY

Past

January 6, 2010 - July 1, 2010

LEDGEMONT CAPITAL MARKETS LLC

CRD#: 119340

NEW YORK, NY

Past

May 1, 2003 - May 15, 2008

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

April 26, 2001 - February 14, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 10, 2000 - May 3, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 22, 1996 - October 10, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 4, 1983 - February 1, 1996

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

January 21, 1982 - July 29, 1983

SELIGMAN SECURITIES, INC.

CRD#: 3361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/19/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/27/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 5

Date: 1/28/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/20/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/29/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1997

General Securities Principal Examination

Current Firm

MORGAN STANLEY

CRD#: 149777 / SEC#: 801-70103, 8-68191

RIA

Registered Investment Advisory firm - SEC (5/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

2000 Westchester Avenue, Purchase, NY 10577-2530

Mailing Address

1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231

Phone number

(914) 225-1000

Established

Delaware since 02/02/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

29,200

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRIVATE WEALTH MANAGEMENT CONSULTING SERVICES PROGRAM BROCHURE (11/6/2025)

PORTFOLIO MANAGEMENT AND INSTITUTIONAL CASH ADVISORY PROGRAM BROCHURE (10/24/2025)

SELECT UMA PROGRAM BROCHURE (10/24/2025)

FINANCIAL PLANNING SERVICES PROGRAM BROCHURE (10/22/2025)

CONSULTING GROUP ADVISOR PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT WRAP PROGRAM BROCHURE (10/17/2025)

SEPARATE MANAGED ACCOUNT COMMISSION-BASED PROGRAM BROCHURE (10/17/2025)

INSTITUTIONAL SERVICES PROGRAM BROCHURE (3/28/2025)

MORGAN STANLEY CORE PORTFOLIOS (3/28/2025)

ALTERNATIVE INVESTMENTS WRAP PROGRAM BROCHURE (3/28/2025)

ACCESS INVESTING PROGRAM BROCHURE (3/28/2025)

OUTSOURCED CHIEF INVESTMENT OFFICE (OCIO) (3/28/2025)

GRAYSTONE CONSULTING PROGRAM BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MORGAN STANLEY CAPITAL MANAGEMENT, LLC	MEMBER
CROWE, JOHN WILLIAM	CHIEF FINANCIAL OFFICER	5475007
FINN, JED	DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER	5658048
FLETCHER, PATRICIA KAY	TEXAS DESIGNATED PRINCIPAL	1202060
GALASSO, DAVID ANTHONY	PRINCIPAL OPERATIONS OFFICER	1926502
GIVENS, WILLIAM BENJAMIN	CHIEF COMPLIANCE OFFICER (BD ONLY)	2790454
HANSEN, TIMOTHY GERARD	CHIEF COMPLIANCE OFFICER (IA ONLY )	4956475
HENNESSY, MICHAEL S	DIRECTOR	1988660
JANOVER, JAMES TROY	DIRECTOR	2818307
TURNER, CHAD EDWARD	DIRECTOR	6009808

Regulatory assets under management

Total Number of Accounts	2,539,760
AUM (Assets Under Management)	$ 1,650,015,946,338

Disclosures

Regulatory Event	66
Arbitration	115

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2025	Cover Page	Report
07/23/2024	Cover Page	Report
08/24/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kenneth P. Dengler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

LEDGEMONT SECURITIES LLC

LEDGEMONT CAPITAL MARKETS LLC

SOLEIL SECURITIES CORPORATION

DEUTSCHE BANK SECURITIES INC.

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

GOLDMAN SACHS & CO. LLC

SELIGMAN SECURITIES, INC.

Primary Firm SEC Registration

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2012

Series 63

Date: 10/20/1983

SIE

Date: 10/1/2018

Series 3

Date: 3/19/2010

Series 55

Date: 4/27/2000

Series 5

Date: 1/28/1983

Series 7

Date: 1/16/1982

Series 10

Date: 6/20/2001

Series 9

Date: 5/29/2001

Series 24

Date: 3/12/1997

Current Firm

MORGAN STANLEY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MORGAN STANLEY

TRUST BUT VERIFY

Contact information

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