Kenneth D. Dorris
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 D Dorris JR, who also goes by Kenneth Dean Dorris Jr, Kenneth Dean Dorris, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 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
September 12, 2014 - July 30, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2014 - July 30, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2013 - March 27, 2014
SIGNAL SECURITIES, INC.
August 27, 2013 - March 27, 2014
SIGNAL SECURITIES, INC.
March 20, 2006 - August 26, 2011
AST INVESTMENT SERVICES, INC.
January 9, 2004 - March 26, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
June 13, 2003 - August 26, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 10, 2003 - December 31, 2003
PRUCO SECURITIES, LLC.
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
November 28, 2000 - January 28, 2003
PGIM INVESTMENTS LLC
July 10, 2000 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 2, 1999 - June 7, 2000
EQUITABLE DISTRIBUTORS, LLC
April 17, 1999 - November 29, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 23, 1995 - September 26, 1997
BISYS SHELF B/D (1), INC.
December 24, 1986 - May 4, 1994
MFS FINANCIAL SERVICES, INC.
June 3, 1986 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
July 27, 1984 - December 7, 1984
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1983 - June 25, 1984
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
