Kenneth D. Martinelli
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 Dean Martinelli, who also goes by Ken Martinelli, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2013 - July 1, 2014
KESTRA INVESTMENT SERVICES, LLC
December 11, 2013 - July 1, 2014
KESTRA INVESTMENT SERVICES, LLC
March 29, 2010 - September 19, 2013
ONEAMERICA SECURITIES, INC.
February 22, 2010 - September 19, 2013
ONEAMERICA SECURITIES, INC.
January 2, 2009 - January 29, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 22, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 14, 2008 - January 29, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 16, 2006 - July 7, 2008
EQUITABLE ADVISORS, LLC
September 28, 2006 - July 7, 2008
EQUITABLE ADVISORS, LLC
March 4, 2005 - October 2, 2006
M HOLDINGS SECURITIES, INC.
January 5, 2005 - February 4, 2005
EQUITABLE ADVISORS, LLC
November 10, 1998 - February 12, 2003
NEW ENGLAND SECURITIES
June 23, 1994 - September 30, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 23, 1994 - September 30, 1998
EQUITABLE ADVISORS, LLC
February 23, 1988 - May 11, 1994
PACIFIC SELECT DISTRIBUTORS, LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
