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KC

Kenneth Davis Collier

CRD# 1402892·Registered 1985 - 2021
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 Davis Collier, who also goes by Ken Collier, was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1985 - 2021. Kenneth had worked at 6 firms and has passed the Series 63, Series 2, Series 3 and Series 7 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 Collier

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

41 years in the financial services industry

Current & Past Employments

COLLIER CONSULTING·CRD# 142147
RIA
Tampa, FL
January 2, 1996 - December 31, 2021
DONNELLAN HAYLETT & CO., INC.·CRD# 23571
BD
June 9, 1993 - December 31, 1994
BANKERS INTERNATIONAL SECURITIES, INC.·CRD# 10224
BD
August 14, 1990 - June 5, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
October 30, 1989 - August 3, 1990
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
December 20, 1988 - November 1, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
September 24, 1985 - January 7, 1989

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Current Firm

CC
COLLIER CONSULTING

COLLIER CONSULTING | COLLIER, KENNETH, DAVIS

CRD#: 142147

Contact Information

Main Address

Tampa, FL

Documents

Latest Form ADV

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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 Oct 1985About the Series 63 exam

Series 2 — Non-Member General Securities Examination

Passed Sep 1995

Series 3 — National Commodity Futures Examination

Passed Oct 1985About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Sep 1985About the Series 7 exam

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CRS (Client Relationship Summary)

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

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