Kenneth L. Smith
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 Lauryn Smith, who also goes by Ken Smith, Kenneth Lavryn Smith, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, 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
December 11, 2009 - November 29, 2012
FORESTERS EQUITY SERVICES, INC.
November 12, 2009 - November 29, 2012
FORESTERS EQUITY SERVICES, INC.
August 30, 1996 - December 31, 2007
DMK ADVISOR GROUP, INC.
December 11, 1994 - September 13, 1996
KOHN, HEBERT & ASSOCIATES, LTD.
August 6, 1992 - August 30, 1994
KIDDER, PEABODY & CO. INCORPORATED
July 20, 1990 - August 24, 1992
AMERICAN INTERSTATE FINANCIAL CORPORATION
January 7, 1986 - August 5, 1988
U.S. SECURITIES CLEARING CORP.
April 3, 1985 - August 5, 1985
CITISTREET EQUITIES 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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
