Kenneth E. Mears
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 Edmund Mears, CFP®, who also goes by Ken Mears, Kenneth E Mears, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7 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
Start date: 1987
Experience
January 6, 2020 - May 19, 2025
MARCUM WEALTH, LLC
November 1, 2019 - January 8, 2020
VALMARK SECURITIES, INC.
January 1, 2004 - November 6, 2019
CETERA ADVISORS LLC
January 1, 2004 - November 6, 2019
CETERA ADVISORS LLC
February 7, 2002 - December 31, 2003
CETERA ADVISORS LLC
October 11, 2001 - January 1, 2004
VESTAX SECURITIES CORPORATION
September 27, 2001 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 21, 1994 - October 2, 2001
LPL FINANCIAL LLC
February 26, 1986 - January 13, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 1985 - February 3, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 27, 1984 - March 1, 1985
CARDELL & ASSOCIATES, INCORPORATED
July 9, 1984 - November 29, 1984
SECURITIES AMERICA, INC.
September 23, 1983 - June 29, 1984
FIRST JERSEY SECURITIES, INC.
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
MARCUM WEALTH, LLC
CRD#: 134628 / SEC#: 801-67563
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,238 |
| AUM (Assets Under Management) | $ 2,972,773,629 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 06/26/2023 | ||
| 12/16/2022 |
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.
