Kenneth A. Gerken
Professional summary
Kenneth A Gerken, who also goes by Ken Gerken, Kenneth A Gerken, Kenneth Alan Gerken, Kenny Gerken, Ken Gerkenn, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth A Gerken's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112May 22, 2019 - August 16, 2021
E*TRADE SECURITIES LLC
July 14, 2014 - April 9, 2018
TCADVISORS NETWORK INC.
January 21, 2010 - April 23, 2014
CURIAN CLEARING, LLC
January 6, 2004 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 11, 1997 - December 31, 2003
NATIONAL PLANNING CORPORATION
January 24, 1995 - March 24, 1997
CHARLES SCHWAB & CO., INC.
April 6, 1993 - May 26, 1995
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 25, 1991 - February 27, 1992
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/13/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
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.
