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KL

Kenneth G. Lampasona

Some features on this profile are disabled
CRD#: 1053598
KL

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 Gregory Lampasona was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1982. Kenneth had worked at 3 firms and has passed the Series 63, Series 7, Series 22, Series 24 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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

February 24, 1992 - January 5, 1993

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

November 18, 1988 - January 22, 1991

RUTLAND SECURITIES L.P.

BD
CRD#: 18972
Past

June 14, 1982 - October 18, 1988

CUYAHOGA SECURITIES CORPORATION

BD
CRD#: 10539

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.

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/9/1982
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/23/1989
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 8/16/1983
Direct Participation Programs Principal Examination

Current Firm

G&
GRUNTAL & CO., L.L.C.
GLOBAL ASSET MANAGEMENT | PROFESSIONAL ASSET MANAGEMENT | GRUNTAL MANAGED ACCOUNTS | GRUNTAL FOCUS ADVISORS | GRUNTAL & CO., L.L.C. | GRUNTAL & CO. INCORPORATED | GRUNTAL & CO.

CRD#: 372 / SEC#: , 8-31022

BD
Terminated by SEC on 07/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRUNTAL FINANCIAL, L.L.C.INTEREST HOLDER
BRADLEY, RALPH HAMILTON JRDIRECTOR, EXECUTIVE VICE PRESIDENT2802958
COHEN, DONALD NEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY
JOHNSON, ROSEMARYDIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER1515631
RITTEREISER, ROBERT PETERDIRECTOR, CHAIRMAN, CEO400305

Disclosures

Regulatory Event34
Arbitration81
Bond2

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.

Company Information

GRUNTAL & CO., L.L.C.

CRD#: 372

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