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KM

Kenneth L. Mclaughlin

Some features on this profile are disabled
CRD#: 1645641
KM

Professional summary

Kenneth Lee Mclaughlin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Kenneth had worked at 4 firms, which includes CAPITAL SECURITIES OF AMERICA INC., MAIN STREET MANAGEMENT COMPANY, MARINER FINANCIAL SERVICES INC., FORESTERS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth L Mclaughlin

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

September 27, 1999 - May 9, 2005

CAPITAL SECURITIES OF AMERICA, INC.

RIA
CRD#: 36405
HARTVILLE, OH
Past

July 11, 1994 - May 9, 2005

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

February 29, 1988 - July 15, 1994

MAIN STREET MANAGEMENT COMPANY

BD
CRD#: 547
Past

February 28, 1988 - July 15, 1994

MAIN STREET MANAGEMENT COMPANY

BD
CRD#: 547
BOSTON, MA
Past

January 12, 1988 - March 18, 1988

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
Past

May 22, 1987 - December 22, 1987

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

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: 1/6/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/19/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2000
General Securities Principal Examination

Current Firm

CS
CAPITAL SECURITIES OF AMERICA, INC.
CAPITAL CITY INVESTMENTS | THE OASIS ASSET MANAGEMENT, LLC | SOUTH BAY INVESTMENT GROUP, LLC | PROACTIVE PORTFOLIO MANAGEMENT, LLC | PERRY REGHETTI & ASSOCIATES | LONE TREE FINANCIAL GROUP, LLC | KALTBAUM & ASSOCIATES | CORE INVESTMENTS | CAPITAL SECURITIES OF AMERICA, INC. | CAPITAL SECURITIES OF AMERICA

CRD#: 36405 / SEC#: , 8-47253

BD
Terminated by SEC on 05/01/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 08/06/1992
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WUNDERLICH INVESTMENT COMPANY, INCSHAREHOLDER
CLINE, JERRY LEEPRESIDENT1350020
CLINE, JERRY LEESECRETARY1350020
MOHNEY, BRIAN EUGENESROP, COO, CFO, CROP2890043
WISWALL, TRACY LEIGHTONCHIEF COMPLIANCE OFFICER3023407
WUNDERLICH, GARY KENT JRCHIEF EXECUTIVE OFFICER2256877

Disclosures

Regulatory Event4
Arbitration2

Red Flags

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Company Information

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

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