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KR

Kenneth S. Rubin

HENNION & WALSH
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1414863
KR

Professional summary

Kenneth Scott Rubin is a registered financial professional currently at HENNION & WALSH, INC. located in Boca Raton, Florida.

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

Question & Answer

Are you a "fiduciary"?
No

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 Scott Rubin'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

December 13, 2013 - Present

HENNION & WALSH, INC.

Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431
BD
CRD#: 25766
Boca Raton, FL
Past

August 26, 1996 - December 31, 2013

PMK SECURITIES & RESEARCH, INC.

BD
CRD#: 40145
DELRAY BEACH, FL
Past

May 1, 1996 - May 23, 1996

PMK SECURITIES & RESEARCH, INC.

BD
CRD#: 40145
Past

September 6, 1989 - May 24, 1996

RUAN SECURITIES CORPORATION

BD
CRD#: 16276
DES MOINES, IA
Past

October 23, 1985 - September 16, 1989

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(3/11/2019)
RR
California
(12/13/2013)
RR
Colorado
(1/10/2014)
RR
Connecticut
(4/8/2016)
RR
Florida
(12/13/2013)
RR
Georgia
(7/28/2015)
RR
Maryland
(12/13/2013)
RR
Massachusetts
(1/1/2014)
RR
New Jersey
(1/10/2014)
RR
New York
(1/10/2014)
RR
North Carolina
(11/28/2018)
RR
Ohio
(10/16/2015)
RR
Pennsylvania
(3/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

H&
HENNION & WALSH, INC.
HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.

CRD#: 25766 / SEC#: , 8-41988

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Mailing Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018
Phone number
(973) 299-8989
Established
New Jersey since 10/24/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HENNION, RICHARDEXECUTIVE VICE PRESIDENT1315386
WALSH, WILLIAM WALTERPRESIDENT1174993
FITZSIMMONS, PHILLIPCHIEF COMPLIANCE OFFICER1625889
HENNION, WILLIAMVICE PRESIDENT2048378
KOWALSKI, STEPHEN GEORGEVICE PRESIDENT1919574
MAHN, KEVIN DOUGLASMANAGING DIRECTOR2519398
WURST, WENDY ANNFINOP, TREASURER1902879

Disclosures

Regulatory Event12
Arbitration6

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.

Company Information

HENNION & WALSH, INC.

CRD#: 25766Boca Raton, FL 33431

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