KW
Kenneth D. Wright
OSAIC INSTITUTIONS
Kingsport, TN 37660
Some features on this profile are disabled
CRD#: 1889354
KW
Professional summary
Kenneth David Wright, who also goes by Ken David Wright, Ken Wright, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Kingsport, Tennessee.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Kenneth has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken David Wright | Ken Wright
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth David Wright's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth David Wright's 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®
NoneExperience
Current
May 17, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 422 Broad Street, Kingsport, TN 37660Office #2: 862 Med Tech Parkway, Johnson City, TN 37604RIA
BD
CRD#: 35371
Kingsport, TN
Current
March 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 422 Broad Street, Kingsport, TN 37660Office #2: 862 Med Tech Parkway, Johnson City, TN 37604RIA
BD
CRD#: 35371
Kingsport, TN
Past
October 11, 2011 - September 30, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
KINGSPORT, TN
Past
February 7, 2001 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
KINGSPORT, TN
Past
April 23, 1998 - January 26, 2001
PFIC SECURITIES CORPORATION
BD
CRD#: 34941
FRANKLIN, TN
Past
March 4, 1998 - April 13, 1998
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
September 2, 1997 - December 31, 1997
WM FUND SERVICES, INC.
BD
CRD#: 30763
SEATTLE, WA
Past
September 26, 1990 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
BD
CRD#: 13066
Past
August 28, 1990 - February 18, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
June 29, 1990 - August 15, 1990
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
December 20, 1988 - May 7, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
BD
CRD#: 7361
Past
October 19, 1988 - June 28, 1989
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Florida(3/1/2016)
RR
Georgia(3/1/2016)
RR
Kentucky(3/1/2016)
RR
Nebraska(7/8/2022)
RR
North Carolina(3/2/2016)
RR
Ohio(5/13/2021)
RR
South Carolina(3/1/2016)
RR
South Dakota(2/4/2022)
RR
Tennessee(3/1/2016)
IAR
Tennessee(5/17/2016)
RR
Texas(3/1/2016)
IAR
Texas(5/17/2016)
RR
Virginia(3/1/2016)
IAR
Virginia(5/17/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
