Kenneth E. Rohrbaugh
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 Earl Rohrbaugh was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 5 firms and has passed the Series 63, Series 15, Series 7, Series 27, Series 4 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
March 13, 1989 - April 8, 1989
FIRST UNION CAPITAL MARKETS CORP.
February 22, 1988 - March 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 1987 - November 18, 1987
KEYSTONE BROKERAGE, LLC
May 31, 1985 - March 27, 1987
GLOBAL OPTIONS GROUP
September 21, 1983 - December 28, 1984
JANNEY MONTGOMERY SCOTT 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
Series 15
Date: 3/28/1984
Foreign Currency Options ExaminationCurrent Firm
FIRST UNION CAPITAL MARKETS CORP.
CRD#: 6124 / SEC#: , 8-12886
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
Red Flags
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