Kenneth F. Mccadden
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 Francis Mccadden, who also goes by Kenneth Francis Mccadden Jr, Kenneth Francis Jr Mccadden, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - November 26, 2019
UBS FINANCIAL SERVICES INC.
February 4, 2016 - November 26, 2019
UBS FINANCIAL SERVICES INC.
July 26, 2012 - September 6, 2013
ECHOTRADE LLC
June 24, 2011 - May 17, 2012
RODMAN & RENSHAW, LLC
May 9, 2011 - May 24, 2011
CHIMERA SECURITIES, LLC
September 15, 2009 - March 26, 2010
ECHOTRADE LLC
April 22, 2005 - September 26, 2007
UBS SECURITIES LLC
August 5, 1997 - May 26, 1998
CHARLES SCHWAB & CO., INC.
December 11, 1996 - February 15, 2006
UBS CAPITAL MARKETS L.P.
May 20, 1996 - October 3, 1996
GRUNTAL & CO., L.L.C.
March 3, 1994 - January 6, 1995
D. H. BLAIR & CO., INC.
September 30, 1993 - March 10, 1994
DEUTSCHE BANK SECURITIES INC.
March 24, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
August 31, 1992 - March 12, 1993
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
Series 55
Date: 11/21/1998
Limited Representative-Equity Trader ExamCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 476 |
| Civil Event | 5 |
| Arbitration | 444 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
