Kenneth E. Hall
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 Earl Hall JR, who also goes by Kenneth E Hall Jr, Kenneth Earl Hall, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 6 firms and has passed the Series 63, SIE, 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
October 29, 2010 - June 30, 2016
EXECUTIVE WEALTH MANAGEMENT, LLC
April 13, 2010 - December 5, 2017
INVEST FINANCIAL CORPORATION
April 3, 2009 - December 5, 2017
INVEST FINANCIAL CORPORATION
January 16, 1997 - April 8, 2009
OSAIC WEALTH, INC.
August 11, 1995 - January 31, 1997
WALNUT STREET SECURITIES, INC.
November 6, 1989 - June 30, 1995
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 29, 1985 - November 18, 1989
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
EXECUTIVE WEALTH MANAGEMENT, LLC
CRD#: 140736 / SEC#: 801-66881
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,577 |
| AUM (Assets Under Management) | $ 1,438,725,950 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2024 | ||
| 09/08/2023 | ||
| 12/19/2022 |
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.
