Kenneth S. Nathan

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CRD#: 1663915

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 Sawyer Nathan JR was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1987. Kenneth had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

December 1, 2005 - May 30, 2023

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

FORT LAUDERDALE, FL

Past

January 24, 1997 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 3, 1994 - August 3, 1999

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

July 22, 1993 - January 3, 1994

JW GENESIS CLEARING CORP.

CRD#: 6631

BOCA RATON, FL

Past

February 8, 1991 - August 5, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 9, 1990 - December 22, 1990

CROWN FINANCIAL ASSOCIATES, INC.

CRD#: 22172

Past

March 21, 1989 - September 27, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 20, 1988 - January 24, 1989

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

Past

March 7, 1988 - March 13, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 21, 1987 - November 24, 1987

TRANSMARKET GROUP L.L.C.

CRD#: 15657

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

Series 63

Date: 8/27/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1995

General Securities Principal Examination

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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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Firm Stability Insights

Kenneth S. Nathan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGG MASON WOOD WALKER, INCORPORATED

JWGENESIS SECURITIES, INC.

JW GENESIS CLEARING CORP.

WELLS FARGO CLEARING SERVICES, LLC

CROWN FINANCIAL ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

WESTCAP SECURITIES, L.P.

INTEGRATED RESOURCES EQUITY CORPORATION

TRANSMARKET GROUP L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Series 24

Date: 2/27/1995

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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