Kenneth J. Krichbaum
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 John Krichbaum, who also goes by Ken Krichbaum, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - February 18, 2019
SECURITIES AMERICA, INC.
August 30, 2013 - November 7, 2017
LPL FINANCIAL LLC
December 4, 2001 - May 16, 2013
JOHN HANCOCK DISTRIBUTORS LLC
May 8, 1998 - October 1, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 23, 1992 - March 6, 1998
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 1, 1992 - September 22, 1992
TITAN/VALUE EQUITIES GROUP, INC.
September 11, 1987 - July 19, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
December 18, 1986 - December 20, 1989
TRANSAMERICA FINANCIAL ADVISORS, 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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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