Todd W. Kiehnau
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.
Todd William Kiehnau was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1982. Todd had worked at 6 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - June 19, 2020
DESERT CAPITAL MANAGEMENT GROUP, INC
May 27, 2004 - November 19, 2004
RBC CAPITAL MARKETS, LLC
September 26, 2003 - June 2, 2004
WORLD GROUP SECURITIES, INC.
February 1, 2001 - September 28, 2001
PCXTRADE, LLC
November 7, 1997 - March 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1997 - November 7, 1997
WMA SECURITIES, INC.
October 21, 1982 - September 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 12/15/1982
Interest Rate Options ExaminationCurrent Firm
DESERT CAPITAL MANAGEMENT GROUP, INC
CRD#: 132779 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 4,626,453 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Arkansas | ERA - Withdrawn | 4/4/2018 |
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.
