Kenneth R. Cauthorn
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 Raymond Cauthorn was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1989. Kenneth had worked at 7 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
November 5, 2001 - December 31, 2005
INVESTORS CAPITAL CORP.
April 29, 1999 - April 12, 2005
MANAGED EXPECTATIONS,INC.
August 14, 1998 - November 5, 2001
PIN OAK PARTNERS, INC.
September 11, 1993 - May 28, 1996
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
October 16, 1992 - November 14, 1998
COVATO/LIPSITZ, INC.
February 21, 1989 - November 15, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 21, 1989 - November 15, 1991
PRUCO SECURITIES, LLC.
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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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