Kenneth F. Klespies
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 Frank Klespies was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2019 - March 23, 2021
IFP SECURITIES, LLC
July 8, 2016 - March 24, 2021
INDEPENDENT FINANCIAL PARTNERS
June 30, 2016 - May 23, 2019
LPL FINANCIAL LLC
May 19, 2006 - July 8, 2016
VSR FINANCIAL SERVICES, INC.
May 18, 2006 - July 8, 2016
VSR FINANCIAL SERVICES, INC.
April 26, 2005 - June 2, 2006
MORGAN STANLEY DW INC.
April 22, 2005 - June 2, 2006
MORGAN STANLEY DW INC.
October 1, 1999 - May 5, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - May 5, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 6, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 14, 1989 - March 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1987 - September 25, 1989
LEHMAN BROTHERS INC.
April 18, 1984 - May 27, 1987
UBS FINANCIAL SERVICES 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
IFP SECURITIES, LLC
CRD#: 297287 / SEC#: , 8-70150
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFP GROUP, LLC | OWNER | |
| ACHESON, JEFFERY ALLEN | CHIEF BUSINESS DEVELOPMENT OFFICER | 706698 |
| GILMAN, AARON LEE | CHIEF INVESTMENT OFFICER | 5611425 |
| HAMM, WILLIAM CHRISTOPHER | PRESIDENT, CHIEF OPERATING OFFICER | 5814331 |
| HAMM, WILLIAM EUGENE JR | CHIEF EXECUTIVE OFFICER AND CHAIRPERSON OF THE BOARD OF DIRECTORS | 1227713 |
| JOHNSON, TORIAN | CHIEF COMPLIANCE OFFICER | 5363604 |
| MEJIA, OSCAR MIGUEL | FINOP | 5569235 |
Red Flags
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