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KS

Kenneth S. Shapiro

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CRD#: 1177643
KS

Professional summary

Kenneth Steven Shapiro was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kenneth had worked at 1 firm, which includes WELCO SECURITIES INC..

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

December 21, 1983 - March 2, 1999

WELCO SECURITIES, INC.

BD
CRD#: 14061
BALA CYNWYD, PA

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: 8/1/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/1983
General Securities Principal Examination

Current Firm

WS
WELCO SECURITIES, INC.
WELCO SECURITIES, INC.

CRD#: 14061 / SEC#: , 8-29736

BD
Revoked by SEC on 08/18/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 04/22/1983
Firm type
Corporation
Fiscal year end
April
# of Employees

Documents

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

WELCO SECURITIES, INC.

CRD#: 14061

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