Ken Lang
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.
Ken Lang, who also goes by Ken Lang, Kenneth Joseph Lang, Kenneth J Lang, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1990. Ken had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 15, 2014 - January 7, 2016
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 1, 2011 - October 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 31, 2011 - October 22, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2009 - January 20, 2011
MUTUAL OF AMERICA SECURITIES LLC
August 3, 2009 - January 20, 2011
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
March 24, 2006 - January 2, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
February 23, 2001 - March 24, 2006
FIDELITY BROKERAGE SERVICES LLC
July 1, 1999 - November 28, 2000
USI SECURITIES, INC.
June 19, 1998 - June 28, 1999
NEW ENGLAND SECURITIES
November 11, 1996 - June 18, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
February 5, 1990 - November 11, 1996
FIDELITY BROKERAGE SERVICES 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
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| DELEGET, JERROLD BRIAN | CHIEF COMPLIANCE OFFICER | 4364224 |
| JESTICE, KEVIN THOMAS | BOARD DIRECTOR | 5363377 |
| KOTECHA, KUSH VIJAY | BOARD DIRECTOR | 8178085 |
| PEREZ, JUAN JOSE QUEVER | PRESIDENT/BOARD DIRECTOR | 6387381 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
