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KW

Kenton E. Wood

Some features on this profile are disabled
CRD#: 1478662
KW

Professional summary

Kenton E Wood was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenton is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Kenton had worked at 2 firms, which includes D.H. BLAIR INVESTMENT BANKING CORP., D. H. BLAIR & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenton Eric Wood

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

December 27, 1991 - May 22, 1992

D.H. BLAIR INVESTMENT BANKING CORP.

BD
CRD#: 28502
NEW YORK, NY
Past

April 23, 1986 - July 22, 1998

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

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: 5/8/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/1997
General Securities Principal Examination

Current Firm

DB
D.H. BLAIR INVESTMENT BANKING CORP.
D.H. BLAIR INVESTMENT BANKING CORP.

CRD#: 28502 / SEC#: , 8-43789

BD
Terminated by SEC on 05/30/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/05/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DAVIS, JOSEPH MORTONCEO-DIR62281
BELL, MARTIN ALLENCLO2270510
JACKSON, GILBERT JRCHIEF FINANCIAL OFFICER-CHIEF OPERATIONS OFFICER2413206
NACHAMIE, DAVIDCHIEF COMPLIANCE OFFCER-CHIEF OPERATING OFFICER-DIRECTOR-TREASURER344382

Disclosures

Regulatory Event1

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

D.H. BLAIR INVESTMENT BANKING CORP.

CRD#: 28502

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