Kenneth C. Baggio

OBERWEIS SECURITIES

Lisle, IL 60532

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CRD#: 1409276

Professional summary

Kenneth Charles Baggio is a registered financial professional currently at OBERWEIS SECURITIES, INC. located in Lisle, Illinois.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1985. Kenneth has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Charles Baggio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 29, 2015 - Present

OBERWEIS SECURITIES, INC.

Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532

CRD#: 42060

Lisle, IL

Past

May 13, 2014 - October 23, 2015

FIXED INCOME CAPITAL PARTNERS, LLC

CRD#: 123001

WHEATON, IL

Past

October 26, 2005 - May 13, 2014

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

September 15, 2005 - October 28, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 8, 1993 - August 30, 2005

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

August 9, 1988 - September 3, 1992

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

September 25, 1985 - August 12, 1988

JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.

CRD#: 2725

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/29/2015)

Exams

State Security Law Exam

Series 63

Date: 3/16/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/14/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/26/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OBERWEIS SECURITIES, INC.

OBERWEIS BROKERAGE, INC. | OS 2 BROKERAGE, INC. | OBERWEIS.NET, INC. | OBERWEIS.NET | OBERWEIS SECURITIES, INC.

CRD#: 42060 / SEC#: , 8-49679

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

3333 Warrenville Road Suite 500, Lisle, IL 60532

Mailing Address

3333 Warrenville Road Suite 500, Lisle, IL 60532

Phone number

(630) 577-2300

Established

Illinois since 09/24/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OBERWEIS, JAMES WALTER	PRESIDENT, DIRECTOR	2363059
OBERWEIS, JAMES DONALD	SHAREHOLDER	350272
HANNEMANN, ERIC VICARY	CHIEF FINANCIAL OFFICER, TREASURER	3264330
JOYCE, THOMAS PATRICK	CHIEF COMPLIANCE OFFICER, SECRETARY	5953683

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Kenneth C. Baggio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Charles Baggio's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIXED INCOME CAPITAL PARTNERS, LLC

MESIROW FINANCIAL, INC.

J.P. MORGAN SECURITIES INC.

MESIROW FINANCIAL, INC.

LASALLE ST SECURITIES, L.L.C.

JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/14/1989

Series 7

Date: 9/21/1985

Series 4

Date: 5/26/1987

Series 24

Date: 7/31/1986

FINRA

Current Firm

OBERWEIS SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

OBERWEIS SECURITIES, INC.

TRUST BUT VERIFY

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