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KH

Kenneth R. Hanks

NEXBANK SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 1812450
KH

Professional summary

Kenneth Ray Hanks, who also goes by Ken Hanks, is a registered financial professional currently at NEXBANK SECURITIES INC located in Dallas, Texas.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1988. Kenneth has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Hanks

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 Ray Hanks'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

June 8, 2012 - Present

NEXBANK SECURITIES INC

Office #1: 2515 Mckinney Ave Suite 1100, Dallas, TX 75201Office #2: 2515 Mckinney Ave Suite 1100, Dallas, TX 75201
BD
CRD#: 133267
Dallas, TX
Past

June 29, 1999 - December 2, 2003

SOUTHWEST CLEARING CORP.

BD
CRD#: 46273
DALLAS, TX
Past

March 18, 1997 - December 2, 2003

MYDISCOUNTBROKER.COM

BD
CRD#: 42565
DALLAS, TX
Past

July 30, 1996 - November 10, 2010

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

June 21, 1996 - November 9, 2010

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

April 8, 1993 - December 14, 1995

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 7, 1988 - July 25, 1996

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX

State Registrations and Notice Filings

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

RR
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

RR
Texas
(6/8/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/8/1990
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/6/1989
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NEXBANK SECURITIES INC
NEXBANK CAPITAL ADVISORS | PROSPECT SECURITIES, LP | NEXBANK WEALTH ADVISORS | NEXBANK SECURITIES, INC. | NEXBANK SECURITIES INC

CRD#: 133267 / SEC#: 801-111780, 8-66705

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2515 Mckinney Ave Suite 1100, Dallas, TX 75201
Mailing Address
2515 Mckinney Ave Suite 1100, Dallas, TX 75201
Phone number
(972) 763-4000
Established
Delaware since 05/25/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
5

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NEXBANK SECURITIES INC. ADV PART 2A (3/31/2021)

Direct owners and executive officers

NamePositionCRD#
NEXBANK CAPITAL, INC.STOCKHOLDER
HODGES, STACY MALINDAFINOP/ PFO/ POO2544755
HOLT, DAVID ERICPRESIDENT/ CHIEF COMPLIANCE OFFICER AND AMLO2426935

Regulatory assets under management

Total Number of Accounts3
AUM (Assets Under Management)$ 882,487

Disclosures

Regulatory Event2

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.

Company Information

NEXBANK SECURITIES INC

CRD#: 133267Dallas, TX 75201

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