Kenneth V. Kauftheil
Professional summary
Kenneth Van Houten Kauftheil is a registered financial professional currently at KEYBANC CAPITAL MARKETS INC. located in San Francisco, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1984. Kenneth has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Van Houten Kauftheil's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2015 - Present
KEYBANC CAPITAL MARKETS INC.
Office #1: One California Street, San Francisco, CA 94111July 20, 2005 - April 9, 2015
JEFFERIES LLC
November 10, 1999 - July 21, 2005
PIPER SANDLER & CO.
March 8, 1990 - November 17, 1999
J.P. MORGAN SECURITIES LLC
March 7, 1989 - March 13, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
October 22, 1987 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
December 27, 1984 - July 9, 1987
NFC SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2018)
(7/9/2015)
(6/8/2015)
(6/18/2015)
(6/18/2015)
(7/19/2016)
(4/17/2023)
(6/21/2017)
(7/14/2016)
(2/1/2019)
(6/17/2021)
(2/12/2020)
(10/9/2019)
(6/19/2015)
(7/13/2015)
(6/18/2015)
(6/12/2015)
(6/11/2015)
(6/8/2015)
(1/5/2024)
(7/27/2015)
(6/9/2015)
(6/11/2018)
(9/8/2022)
(6/18/2015)
(6/12/2015)
Exams
FINRA
Nasdaq Stock Market
Current Firm
KEYBANC CAPITAL MARKETS INC.
CRD#: 566 / SEC#: , 8-30177
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYCORP | SOLE SHAREHOLDER | |
| GILBERT, STACY LEE | DIRECTOR | 5316644 |
| HAYDEN, WILLIAM PATRICK | CHIEF COMPLIANCE OFFICER | 4136632 |
| JANOFSKY, PAULA MARIE | CHIEF OPERATIONS OFFICER, DIRECTOR | 2882776 |
| KOVACHICK, MARK ALLAN | DIRECTOR, CFO | 5390571 |
| PAINE, ANDREW JACKSON III | MANAGING DIRECTOR, DIRECTOR, HEAD OF CORPORATE AND INVESTMENT BANKING | 2450522 |
| PREISER, DOUGLAS WILLIAM | CHIEF EXECUTIVE OFFICER, DIRECTOR | 1690776 |
| SKARDA, JOSEPH BRIEL | DIRECTOR | 4288186 |
Disclosures
| Regulatory Event | 40 |
| Arbitration | 15 |
| Bond | 1 |
Red Flags
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