Kenneth Sheptoff
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 Sheptoff, who also goes by Ken Sheptoff, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 5 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
January 26, 2017 - January 10, 2024
SHEPTOFF INVESTMENT GROUP LLC
February 14, 2012 - January 27, 2017
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2012 - January 27, 2017
INDEPENDENT FINANCIAL GROUP, LLC
June 1, 2006 - February 14, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
May 31, 2006 - February 14, 2012
PACIFIC WEST SECURITIES, INC.
April 30, 2004 - June 1, 2006
HARVEST CAPITAL ADVISORS, LLC
April 28, 2004 - June 1, 2006
HARVEST CAPITAL LLC
April 5, 2004 - April 30, 2004
TOWER SQUARE SECURITIES, INC.
March 24, 2004 - March 25, 2004
TOWER SQUARE SECURITIES, INC.
March 19, 2004 - April 30, 2004
TOWER SQUARE SECURITIES, INC.
October 29, 1996 - April 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 4, 1996 - April 10, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 31, 1993 - October 17, 1996
CITIGROUP GLOBAL MARKETS INC.
August 5, 1985 - July 31, 1993
LEHMAN BROTHERS INC.
October 12, 1984 - August 14, 1985
MORGAN STANLEY DW INC.
May 25, 1983 - October 12, 1984
DREXEL BURNHAM LAMBERT 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: 4/6/1983
Interest Rate Options ExaminationCurrent Firm
SHEPTOFF INVESTMENT GROUP LLC
CRD#: 286509 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 11,544,345 |
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.
