Kenneth L. Neathery
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 Lee Neathery JR, who also goes by Jr Kenneth Lee Neathery, Ken Neathery, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
May 30, 1995 - December 31, 2013
CADARET, GRANT & CO., INC.
April 4, 1994 - June 30, 1995
FERGUSON, ANDREWS & ASSOCIATES, INC.
November 1, 1993 - December 31, 2017
FERGUSON, ANDREWS INVESTMENT ADVISERS, INC
April 27, 1988 - August 31, 1993
MML INVESTORS SERVICES, LLC
June 19, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
June 19, 1984 - March 25, 1988
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
