Kenneth Arthur Finnen
Professional Summary
Kenneth Arthur Finnen, who also goes by Kenneth A Finnen, Ken Finnen, was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1989 - 2023. Kenneth had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 25, Series 14, Series 9, Series 4, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kenneth A Finnen, Ken Finnen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
NORFOLK MARKETS, LLC
Contact Information
Established
Delaware since 05/04/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2007Series 25 — NYSE Trading Assistant Examination
Passed Apr 1999Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2008About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2008About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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