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KA

Kenneth Abrams

CRD# 1350052·Registered 1986 - 2014
Previously Registered: Being a previously registered professional could mean that Kenneth 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.

Professional Summary

Kenneth Abrams, who also goes by Ken Abrams, was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1986 - 2014. Kenneth had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ken Abrams

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

SUNSTREET SECURITIES, LLC·CRD# 143211
BD
West Chicago, IL
July 7, 2014 - December 10, 2014
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Deerfield, IL
October 17, 2012 - July 7, 2014
HORNOR, TOWNSEND & KENT, LLC·CRD# 4031
BD
Chicago, IL
August 19, 2011 - October 11, 2012
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Windsor, CT
March 18, 1997 - November 10, 1997
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
January 4, 1996 - March 18, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
Boston, MA
May 4, 1993 - January 18, 1996
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
May 4, 1993 - January 18, 1996
MONY SECURITIES CORPORATION·CRD# 4386
BD
New York, NY
July 14, 1992 - April 2, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES·CRD# 4039
BD
New York, NY
April 30, 1986 - May 21, 1992
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
New York, NY
April 30, 1986 - May 21, 1992

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Current Firm

SS
SUNSTREET SECURITIES, LLC

SUNSTREET SECURITIES, LLC

CRD#: 143211 / SEC#: 8-67541
Delaware
Registered Investment Advisory firm - SEC (12/31/2016 Terminated)
Nevada
Registered Investment Advisory firm - SEC (11/20/2007 Approved)
New Jersey
Registered Investment Advisory firm - SEC (8/23/2018 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/4/2018 Conditional Restricted)
Washington
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Mailing Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Phone Number

(800) 823-1822

Established

Arizona since 01/04/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

18

FINRA licenses (38 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HADDAD, MUNIB SAIDCEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER2610231

Regulatory Assets Under Management

Total Number of Accounts

50

AUM (Assets Under Management)

$6,500,000

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 2011About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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