Kenneth P. Ketcham
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 Phillip Ketcham was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 6, Series 7, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2013 - October 29, 2013
MORGAN KEEGAN & COMPANY, LLC
February 20, 2013 - December 31, 2015
MORGAN KEEGAN & COMPANY, LLC
February 13, 2013 - December 31, 2015
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 31, 2015
RAYMOND JAMES & ASSOCIATES, INC.
February 5, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 5, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 8, 2007 - January 15, 2008
ICBA FINANCIAL SERVICES CORPORATION
July 7, 2006 - December 31, 2006
SORRENTO PACIFIC FINANCIAL, LLC
November 10, 2005 - December 31, 2006
SORRENTO PACIFIC FINANCIAL, LLC
October 9, 2003 - December 31, 2005
ICBA FINANCIAL SERVICES CORPORATION
June 16, 1999 - January 15, 2008
ICBA FINANCIAL SERVICES CORPORATION
November 15, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 15, 1995 - June 22, 1999
SIGNATOR INVESTORS, INC.
January 24, 1989 - October 31, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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