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KW

Kenneth L. Walker

TRADINGBLOCK
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2124270
KW

Professional summary

Kenneth Lee Walker is a registered financial professional currently at TRADINGBLOCK located in Chicago, Illinois.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1992. Kenneth has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Lee Walker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 15, 2012 - Present

TRADINGBLOCK

Office #1: 311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
BD
CRD#: 128605
Chicago, IL
Past

December 15, 2006 - October 8, 2012

BROKERSXPRESS LLC

BD
CRD#: 127081
CHICAGO, IL
Past

August 2, 2005 - September 19, 2008

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

January 7, 1992 - January 16, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(7/19/2016)
RR
California
(7/19/2016)
RR
Florida
(7/19/2016)
RR
Illinois
(10/16/2012)
RR
Massachusetts
(7/19/2016)
RR
Minnesota
(7/19/2016)
RR
Missouri
(7/19/2016)
RR
New Jersey
(7/19/2016)
RR
New York
(7/19/2016)
RR
North Carolina
(7/20/2016)
RR
Texas
(7/19/2016)
RR
Virginia
(7/19/2016)
RR
Washington
(7/19/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/20/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/9/1993
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRADINGBLOCK
AOS, INC. | TUBREAUXS WEALTH & LEGACY SOLUTIONS | TRADINGBLOCK | TRADING BLOCK | THE CUSICK GROUP | SHEIKH INVESTMENTS | MYIPO | MONEYBLOCK ASSET MANAGEMENT | MONEYBLOCK | MIDWEST CAPITAL RESOURCES, INC. | AOS, INC. DBA MONEYBLOCK

CRD#: 128605 / SEC#: , 8-66163

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
Mailing Address
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Phone number
(312) 253-0385
Established
Illinois since 06/02/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CAMBRIA HOLDINGS INC.OWNER
HEFFERNAN, THOMAS ROBERTVP5538731
HOEH, PHILLIP JOHNCCO2231877
MARTINO, GARY ANTHONYVP1458334
OGILVIE, DONAL SHANNONCOO2863275
VANDERHOOF, JOEL MICHAELPRESIDENT - INVESTMENT BANKING4152196
WALLACE, ROBERT DIRLAMCFO4606185
WICKERT, JERE THOMASCEO AND PRESIDENT2079719

Disclosures

Regulatory Event9
Arbitration3

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.

Company Information

TRADINGBLOCK

CRD#: 128605Chicago, IL 60606

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