Kenneth Kramer
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 Kramer, who also goes by Ken Kramer, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2006 - August 10, 2016
RICE FINANCIAL PRODUCTS COMPANY
May 16, 2006 - July 28, 2006
BELLE HAVEN INVESTMENTS, L.P.
February 16, 1995 - July 28, 2006
BELLE HAVEN INVESTMENTS, L.P.
March 19, 1988 - November 18, 1994
GLICKENHAUS & CO.
March 25, 1987 - March 19, 1988
GLICKENHAUS & CO. - NEW JERSEY
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
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
