Kenneth W. Finnell
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 Wayne Finnell, who also goes by Ken Finnell, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2021 - July 30, 2021
JOHN P. DUBOTS CAPITAL MANAGEMENT, LLC
August 20, 2018 - July 30, 2021
JOHN P. DUBOTS CAPITAL MANAGEMENT, LLC
April 3, 2012 - August 13, 2018
CENTAURUS FINANCIAL, INC.
April 3, 2012 - August 13, 2018
CENTAURUS FINANCIAL, INC.
January 4, 2010 - April 23, 2012
NEWPORT COAST SECURITIES, INC.
November 9, 2009 - April 23, 2012
NEWPORT COAST SECURITIES, INC.
August 24, 2007 - November 17, 2009
LPL FINANCIAL LLC
August 23, 2007 - November 17, 2009
LPL FINANCIAL LLC
May 30, 2006 - August 20, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 5, 2006 - August 20, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 21, 2004 - May 16, 2006
RJL FINANCIAL NETWORK, L.L.C.
October 3, 2002 - May 9, 2006
SECURITIES AMERICA, INC.
May 3, 2002 - September 30, 2002
THE ADVISORS GROUP, INC.
July 6, 2001 - May 8, 2006
RAYMOND J. LUCIA COMPANIES, INC.
July 24, 1995 - September 30, 2002
THE ADVISORS GROUP, INC.
July 18, 1994 - December 7, 1995
SIGNATOR INVESTORS, INC.
September 5, 1991 - February 23, 1994
SIGNATOR INVESTORS, INC.
September 5, 1991 - December 7, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 30, 1986 - September 6, 1991
HORNOR, TOWNSEND & KENT, LLC
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
JOHN P. DUBOTS CAPITAL MANAGEMENT, LLC
CRD#: 312676 / SEC#:
Contact information
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.
