KA
Kenneth S. Alter
STIFEL, NICOLAUS & COMPANY
LOS ANGELES, CA 90067
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CRD#: 2147698
KA
Professional summary
Kenneth S Alter is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Los Angeles, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Ken & Cassi Alter/ Sunset Speech LLC; 2834-36 Sunset Blvd. Los Angeles CA 90026; Commercial real estate purchase to primarily house my wife's speech therapy business; 100% co-Owner of real estate with spouse; Commercial real estate rental property; affiliation started 04/08/2016; 0 hours per day; not during securities trading hours; not investment related. 2. Personal Rental Property (Ken Alter); Oxnard CA 93035; Personal vacation home and rental property; Owner; Property Owner (probably mostly for vacation use, but may hire rental agency to handle management); 10/30/2017; 4.0 hours per Month; Not during Securities Trading Hours; Not Investment-Related 3. 806 South Detroit St. Los Angeles, CA 90036 Real Estate Rental Property (Joint Ownership);806 South Detroit St. Los Angeles CA 90036;Real estate rental property personal investment, with Eilat family (clients of mine at Stifel);property owner; 8/15/14;0.00 Hour(s) Per Day; not during securities trading hours; investment related. 4. Rental property;1328 S. Hudson Ave Los Angeles CA 90019;owner;9/5/19;0 hr/day;not during securities trading hours; investment related. 5. Rental property & Vineyard Estate; 1785 Wellsona Rd, Paso Robles, CA 93446; Vacation rental property with vineyard which will be leased out. Half-owner; Mortgage financing and overseer of vacation management rental agency; 10/13/2020; 2 Hours per Week; Not During Securities Trading Hours; Investment-Related. 6. 418 S Citrus Ave, Los Angeles, CA 90036; Home for child with a rental ADU in backyard; 50% Owner of property; Payment of mortgage and receiver of rental income; 12/02/2020; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 7. Alter Family Holdings LLC; 117 N HIGHLAND AVE LOS ANGELES CA 90036; LLC is a family holding investment company to house our prior limited partnership LLCs for tax purposes; Manager; Financial investment decisions; 02/11/2021; 1.00hr/week; Not During Securities Trading Hours
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth S Alter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth S Alter's 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®
NoneExperience
Current
August 10, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067RIA
BD
CRD#: 793
LOS ANGELES, CA
Current
August 10, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2121 Avenue Of The Stars (fox Plaza) Suite 2100 & 2150, Los Angeles, CA 90067RIA
BD
CRD#: 793
LOS ANGELES, CA
Past
June 1, 2009 - August 3, 2015
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
June 1, 2009 - August 3, 2015
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BEVERLY HILLS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BEVERLY HILLS, CA
Past
July 8, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
BEVERLY HILLS, CA
Past
June 19, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
BEVERLY HILLS, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(8/10/2015)
RR
California(8/10/2015)
IAR
California(8/10/2015)
RR
Florida(8/10/2015)
RR
Illinois(7/15/2021)
RR
Montana(3/21/2022)
RR
Nevada(8/31/2016)
RR
New Jersey(8/10/2015)
RR
New York(8/10/2015)
RR
North Carolina(8/10/2015)
RR
Ohio(12/1/2017)
RR
Oregon(2/14/2022)
RR
Pennsylvania(9/29/2023)
RR
Puerto Rico(11/2/2016)
RR
Tennessee(9/21/2016)
IAR
Texas(8/10/2015)
RR
Texas(5/11/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 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.
