Kenneth A. Gulden
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 Arthur Gulden, who also goes by Ken Gulden, Kenneth A Gulden, Kenneth Gulden, Kenneth Arthur Guldenschuh, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - November 20, 2018
BB&T SECURITIES, LLC
January 2, 2018 - November 20, 2018
BB&T SECURITIES, LLC
November 29, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
November 17, 2010 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
October 5, 2009 - October 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - October 7, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 17, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 19, 2003 - June 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 19, 2003 - June 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 16, 2001 - June 30, 2003
CHEVY CHASE FINANCIAL SERVICES
August 2, 2000 - June 30, 2003
CHEVY CHASE FINANCIAL SERVICES
September 14, 1998 - August 15, 2000
MOMENTUM INDEPENDENT NETWORK INC.
August 3, 1998 - September 18, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 7, 1997 - August 4, 1998
MOMENTUM INDEPENDENT NETWORK INC.
March 12, 1997 - August 12, 1997
CULLUM & SANDOW SECURITIES, INC.
May 25, 1995 - December 10, 1996
ROBERT THOMAS SECURITIES, INC
June 1, 1993 - March 2, 1995
BOATMEN'S INVESTMENT SERVICES, INC.
October 24, 1991 - June 2, 1993
LPL FINANCIAL LLC
July 8, 1991 - October 28, 1991
MARKETING ONE SECURITIES, INC.
June 20, 1984 - January 21, 1991
A. G. EDWARDS & SONS, INC.
February 25, 1982 - September 6, 1984
FORESTERS FINANCIAL SERVICES, 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
Current Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 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.
