Kenneth M. Spann
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 Michael Spann was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - April 24, 2018
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - April 24, 2018
CAPITAL ONE INVESTING, LLC
December 9, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
November 25, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
July 18, 2014 - November 14, 2014
WORLD EQUITY GROUP, INC.
July 1, 2014 - November 14, 2014
WORLD EQUITY GROUP, INC.
April 5, 2011 - October 15, 2013
CETERA INVESTMENT SERVICES LLC
April 5, 2011 - October 15, 2013
CETERA INVESTMENT SERVICES LLC
May 2, 2009 - April 4, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - April 4, 2011
CHASE INVESTMENT SERVICES CORP.
November 12, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
September 8, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
October 20, 2004 - May 29, 2008
CETERA WEALTH SERVICES, LLC
March 22, 2004 - September 15, 2004
PNC WEALTH MANAGEMENT LLC
October 10, 2002 - March 29, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
February 8, 2000 - October 17, 2002
CETERA WEALTH SERVICES, LLC
October 21, 1998 - August 30, 1999
SUMMIT FINANCIAL SERVICES GROUP, INC.
May 28, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
August 31, 1993 - May 27, 1994
UJB DISCOUNT BROKERAGE CO.
October 8, 1992 - March 30, 1993
UJB DISCOUNT BROKERAGE CO.
May 21, 1990 - October 1, 1990
MARKETING ONE SECURITIES, INC.
July 12, 1988 - July 29, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 23, 1988 - June 14, 1988
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
July 23, 1986 - June 9, 1988
AMERICAN EAGLE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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