Kenneth W. Hightower
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 William Hightower, who also goes by Ken Hightower, Kenneth Hightower, Kenneth William Hightowr, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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, 2015 - October 6, 2020
VOYA FINANCIAL ADVISORS, INC.
March 13, 2015 - October 6, 2020
VOYA FINANCIAL ADVISORS, INC.
July 8, 2014 - September 18, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2014 - September 18, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 29, 2008 - April 3, 2013
CHARLES SCHWAB & CO., INC.
October 29, 2008 - April 3, 2013
CHARLES SCHWAB & CO., INC.
June 10, 2008 - December 31, 2008
401(K) INVESTMENT ADVISORS
May 23, 2006 - July 24, 2006
401(K) INVESTMENT ADVISORS
April 28, 2006 - December 31, 2008
401(K) INVESTMENT SERVICES, INC.
February 6, 2006 - February 28, 2006
INVESMART ADVISORS INC
February 1, 2006 - February 28, 2006
INVESMART SECURITIES, LLC
January 13, 2004 - December 31, 2004
CETERA WEALTH SERVICES, LLC
July 8, 2002 - January 13, 2004
CUNA BROKERAGE SERVICES, INC.
June 6, 2002 - January 13, 2004
CUNA BROKERAGE SERVICES, INC.
May 17, 2001 - February 7, 2002
JANUS HENDERSON DISTRIBUTORS US LLC
April 11, 2000 - May 16, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
August 20, 1998 - April 3, 2000
MONY SECURITIES CORPORATION
January 1, 1998 - March 3, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
March 5, 1996 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
May 25, 1994 - March 4, 1996
ARAGON FINANCIAL SERVICES, INC.
October 20, 1992 - May 20, 1994
SWBC INVESTMENT COMPANY
April 20, 1987 - November 24, 1987
MARKETING ONE SECURITIES, INC.
September 3, 1986 - February 27, 1987
PRINCIPAL FINANCIAL SECURITIES,INC.
March 4, 1985 - May 27, 1986
MORGAN STANLEY DW INC.
March 19, 1984 - October 5, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
