Kenneth N. Kleid
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 Neil Kleid was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 15 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1994 - June 21, 1994
MORGAN STANLEY DW INC.
August 3, 1992 - December 3, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 3, 1992 - December 3, 1993
SIGNATOR INVESTORS, INC.
February 24, 1992 - August 3, 1992
VERAVEST INVESTMENTS, INC.
April 20, 1991 - October 2, 1991
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1989 - March 1, 1990
J. B. HANAUER & CO.
June 5, 1989 - October 31, 1989
G. K. SCOTT & CO., INC.
March 27, 1989 - May 9, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 27, 1989 - May 9, 1989
EQUITABLE ADVISORS, LLC
January 24, 1989 - February 27, 1989
AMERIMUTUAL CORPORATION
September 26, 1988 - January 18, 1989
ALLIED CAPITAL GROUP, INC.
January 25, 1988 - April 29, 1988
BRENNAN ROSS SECURITIES, INC.
February 25, 1987 - January 27, 1988
MORGAN GLADSTONE & CO. INC.
December 26, 1986 - October 3, 1988
WELLSHIRE SECURITIES, INC.
August 21, 1986 - December 9, 1986
MICHELIN AND COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MORGAN STANLEY DW INC.
CRD#: 7556 / SEC#: , 8-14172
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY | PARENT | |
| CHENG, NOLAND | CHIEF OPERATIONS OFFICER | 2072097 |
| CIMINERA, LAURA | CROP | 1388279 |
| GELFAND, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER | |
| GORMAN, JAMES PATRICK | PRESIDENT,CHIEF OPERATING OFFICER,CHIEF EXECUTIVE OFFICER | 4026328 |
| GUEREN, RICHARD DANIEL | SROP, EXECUTIVE DIRECTOR | 1146589 |
| HANAN, SHELLEY SUZANNE | DIRECTOR | 1327260 |
| HARRIS, RAYMOND ALBERT JR | DIRECTOR | 1363371 |
| KNAPP, MATTHEW PAUL | CHIEF COMPLIANCE OFFICER FOR ADVISORY BUSINESS | 2514353 |
| MCMAHON, WILLIAM A | MANAGING DIRECTOR | 703705 |
| OROSCHAKOFF, MICHELLE | COMPLIANCE DIRECTOR FOR BROKER DEALER | 2403199 |
| WICKMAN, KIRK PETER | GENERAL COUNSEL, MANAGING DIRECTOR, DIRECTOR |
Disclosures
| Regulatory Event | 152 |
| Arbitration | 606 |
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.
