Kenneth W. Robinson
Professional summary
Kenneth Wayne Robinson 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 professional and started their career in finance in 1991. Prior to being barred, Kenneth had worked at 11 firms, which includes OXFORD FINANCIAL GROUP, D.E. FREY & COMPANY INC., FAB SECURITIES OF AMERICA INC., INSTITUTIONAL CAPITAL MANAGEMENT INC., MEYERS POLLOCK ROBBINS INC., JOSEPHTHAL & CO. INC., FIRST MONTAUK SECURITIES CORP., DICKINSON & CO., SECURITIES AMERICA INC., CIBC WORLD MARKETS CORP., WELLS FARGO CLEARING SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2000 - November 20, 2000
OXFORD FINANCIAL GROUP
August 17, 1999 - December 17, 1999
D.E. FREY & COMPANY, INC.
June 8, 1998 - October 30, 1998
FAB SECURITIES OF AMERICA, INC.
May 9, 1997 - February 5, 1998
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
February 1, 1997 - April 15, 1997
MEYERS POLLOCK ROBBINS, INC.
September 21, 1994 - January 7, 1997
JOSEPHTHAL & CO., INC.
June 7, 1994 - August 10, 1994
FIRST MONTAUK SECURITIES CORP.
February 4, 1994 - June 13, 1994
DICKINSON & CO.
July 14, 1993 - October 25, 1993
SECURITIES AMERICA, INC.
October 11, 1992 - February 19, 1993
CIBC WORLD MARKETS CORP.
May 29, 1991 - September 17, 1991
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OXFORD FINANCIAL GROUP
CRD#: 40700 / SEC#: , 8-49153
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALLERIA TRADING COMPANY | PARENT COMPANY | |
| CLOUD, THOMAS JOHN JR | CEO | 1919679 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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