Kenneth Kitahara
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 Kitahara was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - April 18, 2018
WELLS FARGO SECURITIES, LLC
July 27, 2012 - March 13, 2013
SG AMERICAS SECURITIES, LLC
December 12, 2011 - July 11, 2012
STORMHARBOUR SECURITIES LP
September 21, 1999 - November 21, 2011
CITIGROUP GLOBAL MARKETS INC.
March 19, 1997 - January 20, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1988 - August 10, 1995
CREDIT SUISSE SECURITIES (USA) LLC
March 17, 1986 - August 16, 1988
GOLDMAN SACHS MONEY MARKETS INC.
October 22, 1985 - March 11, 1986
GOLDMAN SACHS & CO. 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
Series 15
Date: 1/6/1986
Foreign Currency Options ExaminationSeries 5
Date: 12/30/1985
Interest Rate Options ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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