Kenneth B. Cook

SUNSTREET SECURITIES

Avondale, AZ 85392

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CRD#: 1539212

Professional summary

Kenneth Brian Cook, who also goes by Ken Brian Cook, is a registered financial professional currently at SUNSTREET SECURITIES, LLC located in Avondale, Arizona.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1986. Kenneth has worked at 2 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Brian Cook

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) - BD

Click below to view Kenneth Brian Cook's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 16, 2021 - Present

SUNSTREET SECURITIES, LLC

Office #1: 10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

RIA

CRD#: 143211

Avondale, AZ

Past

February 27, 2009 - November 22, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

TAWAS CITY, MI

Past

October 17, 1986 - February 13, 2009

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

TAWAS, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/16/2021)

Michigan
(11/16/2021)

South Carolina
(11/16/2021)

Exams

State Security Law Exam

Series 63

Date: 10/16/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 10/16/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/16/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SUNSTREET SECURITIES, LLC

CRD#: 143211 / SEC#: , 8-67541

Delaware

Registered Investment Advisory firm - SEC (12/31/2016 Terminated)

Nevada

Registered Investment Advisory firm - SEC (11/20/2007 Approved)

New Jersey

Registered Investment Advisory firm - SEC (8/23/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/4/2018 Conditional Restricted)

Washington

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Mailing Address

10320 W. Mcdowell Rd Bldg F, Suite 6018, Avondale, AZ 85392

Phone number

(800) 823-1822

Established

Arizona since 01/04/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HADDAD, MUNIB SAID	CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER	2610231

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 5,900,000

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.

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Kenneth B. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Brian Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNSTREET SECURITIES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1986

SIE

Date: 10/1/2018

Series 22

Date: 10/16/1986

Series 6

Date: 10/16/1986

FINRA

Current Firm

SUNSTREET SECURITIES, LLC

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

SUNSTREET SECURITIES, LLC

TRUST BUT VERIFY

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