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KM

Kenneth L. Marsh

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CRD#: 1505595
KM

Professional summary

Kenneth Lloyd Marsh was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Kenneth had worked at 4 firms, which includes US EURO SECURITIES INC, VIEWTRADE SECURITIES INC., FIRST MONTAUK SECURITIES CORP., MARSH BLOCK & CO. INC..

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

July 15, 2005 - September 12, 2006

US EURO SECURITIES, INC

BD
CRD#: 38839
MIDDLETOWN, NJ
Past

January 19, 2001 - May 21, 2003

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
BOCA RATON, FL
Past

January 27, 1998 - December 31, 1998

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

January 20, 1988 - July 9, 1997

MARSH, BLOCK & CO. INC.

BD
CRD#: 11194
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: 2/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination

Current Firm

UE
US EURO SECURITIES, INC
DBK - PINNACLE, INC. | US EURO SECURITIES, INC

CRD#: 38839 / SEC#: , 8-48489

BD
Terminated by SEC on 06/15/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/15/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FUGLER, MICHAEL ROYCHAIRMAN, GSP, EXECUTIVE REP2947789
ARNEAUD, MARCUS ANTHONYCHIEF COMPLIANCE OFFICER, AMLCO2858859
TRACTENBERG, ELIZABETH MARIEFINANCIAL AND OPERATIONS PRINCIPAL4577334

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

US EURO SECURITIES, INC

CRD#: 38839

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