Kenneth W. Callahan

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CRD#: 1445186

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 William Callahan was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 9 firms and has passed the Series 63, SIE and Series 7 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.

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: INSURANCE DESIGNEERS/GORMAN INSURANCE SERVICES INVESTMENT RELATED: YES ADDRESS: 17789 E17TH STREET, SUITE 206, TUSTIN, CA, 92780 NATURE OF BUSINESS: LIFE INSURANCE AND ANNUITIES START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: OFFER INSURANCE PRODUCTS THROUGH GIS WHEN AND IF THEY HAVE A PRODUCT THAT MEETS CLIENT'S NEEDS

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

January 22, 2020 - March 13, 2025

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

RIO RANCHO, NM

Past

April 30, 2018 - January 2, 2020

J.K. FINANCIAL SERVICES, INC.

CRD#: 103728

NORCO, CA

Past

February 12, 2016 - April 13, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DESERT HOT SPRINGS, CA

Past

February 12, 2016 - April 13, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DESERT HOT SPRINGS, CA

Past

April 21, 2000 - March 9, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

DESERT HOT SPRING, CA

Past

February 4, 2000 - March 9, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DESERT HOT SPRING, CA

Past

December 4, 1991 - February 4, 2000

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

May 26, 1989 - June 29, 1992

CAMBIO SECURITIES CORPORATION

CRD#: 14891

Past

November 14, 1988 - June 21, 1989

DAVID, STANFORD SECURITIES

CRD#: 19614

Past

May 13, 1987 - December 17, 1987

FIRST INVESTMENT SECURITIES, INC.

CRD#: 13459

Past

May 30, 1986 - August 31, 1987

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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

Series 63

Date: 5/19/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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.

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Kenneth W. Callahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.K. FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

MONEY CONCEPTS CAPITAL CORP

CAMBIO SECURITIES CORPORATION

DAVID, STANFORD SECURITIES

FIRST INVESTMENT SECURITIES, INC.

SOUTHMARK FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/1987

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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