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KD

Ken M. Difrancesca

Some features on this profile are disabled
CRD#: 1425598
KD

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.

Ken Maurice Difrancesca was a registered financial professional .

Ken is a previously registered financial professional and started their career in finance in 1985. Ken had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 53 and Series 24 exams.

top-8-questions

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)

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

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

Past

October 6, 2015 - June 20, 2016

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

June 11, 2014 - June 26, 2015

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

June 11, 2014 - June 26, 2015

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
DELRAY BEACH, FL
Past

July 13, 2010 - May 7, 2014

SECURITY DISTRIBUTORS

BD
CRD#: 3336
TOPEKA, KS
Past

October 28, 2009 - January 29, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
BLOOMINGDALE, IL
Past

October 1, 2007 - October 17, 2007

INDUSTRY SAVINGS PLANS, INC.

BD
CRD#: 425
GREENWOOD VILLAGE, CO
Past

March 17, 2004 - December 31, 2006

BLC FINANCIAL SERVICES, INC.

BD
CRD#: 126638
CHICAGO, IL
Past

October 23, 2002 - August 13, 2003

FOCUSED INVESTMENTS L.L.C.

BD
CRD#: 37532
CHICAGO, IL
Past

May 1, 2001 - January 2, 2002

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

July 13, 1998 - May 1, 2001

METLIFE INVESTORS SALES COMPANY

BD
CRD#: 15950
OAKBROOK TERRACE, IL
Past

November 21, 1996 - March 12, 1998

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

April 24, 1995 - November 7, 1996

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

June 25, 1987 - April 5, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

November 20, 1985 - June 10, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/20/1985
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/30/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/1988
General Securities Principal Examination

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

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

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 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#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867

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