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KR

Kenneth R. Ross

Some features on this profile are disabled
CRD#: 1846704
KR

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 Robert Ross was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 14 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 and Series 22 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

January 2, 2014 - April 29, 2014

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
RALEIGH, NC
Past

January 2, 2014 - April 29, 2014

AW SECURITIES

BD
CRD#: 103747
FOLSOM, CA
Past

November 13, 2013 - January 9, 2014

PATHWAY STRATEGIC ADVISORS

RIA
CRD#: 158395
RALEIGH, NC
Past

November 13, 2013 - December 31, 2013

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

April 29, 2011 - December 14, 2011

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
RALEIGH, NC
Past

April 29, 2011 - December 14, 2011

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST. PETERSBURG, FL
Past

June 1, 2009 - March 8, 2011

MORGAN STANLEY

RIA
CRD#: 149777
RALEIGH, NC
Past

June 1, 2009 - March 8, 2011

MORGAN STANLEY

BD
CRD#: 149777
RALEIGH, NC
Past

January 4, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
RALEIGH, NC
Past

December 6, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
RALEIGH, NC
Past

May 11, 2000 - April 5, 2007

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

November 19, 1997 - March 29, 2000

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

November 8, 1995 - October 29, 1997

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
WASHINGTON, DC
Past

September 4, 1991 - December 31, 1996

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

March 13, 1990 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
NEW YORK, NY
Past

March 13, 1990 - August 21, 1991

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

September 9, 1988 - April 26, 1989

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

September 9, 1988 - April 26, 1989

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)

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
IAR
Series 65
Date: 12/22/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/7/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 1/4/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/12/1990
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/7/1988
Direct Participation Programs Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.
ALLWORTH FINANCIAL, L.P.
ALLWORTH AIRLINE ADVISORS | STEWART & PATTEN CO. | SIMPLY MONEY ADVISORS | SHEAFF BROCK | SALZINGER SHEAFF BROCK | REDROCK WEALTH MANAGEMENT | RAA | JOHANSON FINANCIAL ADVISORS | HORSEMAN GROUP | HANSON MCCLAIN, L.P. | HANSON MCCLAIN, INC. | HANSON MCCLAIN RETIREMENT PLANNING | HANSON MCCLAIN RETIREMENT PLAN SERVICES | HANSON MCCLAIN ADVISORS | HANSON MCCLAIN | GEORGE MCKELVEY & CO. | ALLWORTH FINANCIAL, L.P. | ALLWORTH FINANCIAL

CRD#: 111167 / SEC#: 801-68255

RIA
Registered Investment Advisory firm - (8/27/2007 Approved)
California
Registered Investment Advisory firm - (8/30/2007 Terminated)
Georgia
Registered Investment Advisory firm - (8/29/2007 Terminated)
Illinois
Registered Investment Advisory firm - (8/29/2007 Terminated)
Texas
Registered Investment Advisory firm - (8/29/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - (8/29/2007 Terminated)
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Contact information

Main Address
340 Palladio Pkwy. Suite 501, Folsom, CA 95630
Mailing Address
Phone number
(916) 482-2196
Established
Firm type
Fiscal year end
# of Employees
466

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (12/11/2025)
FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts64,930
AUM (Assets Under Management)$ 25,097,132,975

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/09/2025
Cover Page
Report
02/05/2025
Cover Page
Report

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

ALLWORTH FINANCIAL, L.P.

ALLWORTH FINANCIAL, L.P.

CRD#: 111167

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