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KD

Kenneth M. Dlouhy

Some features on this profile are disabled
CRD#: 2205015
KD

Professional summary

Kenneth Martin Dlouhy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Kenneth had worked at 13 firms, which includes CANTONE RESEARCH INC., AEGIS CAPITAL CORP., GUNNALLEN FINANCIAL INC, OPPENHEIMER & CO. INC., GALLAGHER FINANCIAL SERVICES CORP, ROUND HILL SECURITIES INC., RYAN BECK & CO., GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., AMERIPRISE ADVISOR SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth Martin Diouhy

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2012 - October 14, 2015

CANTONE RESEARCH INC.

RIA
CRD#: 26314
TINTON FALLS, NJ
Past

July 23, 2012 - October 14, 2015

CANTONE RESEARCH INC.

BD
CRD#: 26314
TINTON FALLS, NJ
Past

April 12, 2010 - August 13, 2012

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
NEW YORK, NY
Past

March 23, 2010 - August 13, 2012

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

October 30, 2009 - March 29, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
HOLMDEL, NJ
Past

September 8, 2009 - March 29, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
HOLMDEL, NJ
Past

May 11, 2005 - September 15, 2009

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
FLORHAM PARK, NJ
Past

March 28, 2005 - September 15, 2009

OPPENHEIMER & CO. INC.

BD
CRD#: 249
FLORHAM PARK, NJ
Past

July 28, 2004 - September 8, 2005

GALLAGHER FINANCIAL SERVICES CORP

RIA
CRD#: 131724
SPRINGFIELD, NJ
Past

March 8, 2004 - March 29, 2005

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

July 18, 2002 - April 1, 2004

RYAN BECK & CO.

RIA
CRD#: 3248
ROSELAND, NJ
Past

April 29, 2002 - April 1, 2004

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

February 26, 2001 - May 15, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

May 26, 1999 - February 28, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 2, 1996 - June 3, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 28, 1994 - December 19, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

October 19, 1992 - April 29, 1994

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 19, 1992 - April 29, 1994

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/7/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CR
CANTONE RESEARCH INC.
CANTONE RESARCH INC. | LINE SECURITIES, INC. | CANTONE RESEARCH INC.

CRD#: 26314 / SEC#: , 8-41940

BD
Terminated by SEC on 09/01/2023
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Contact information

Main Address
36 Corbett Way, Eatontown, NJ 07724
Mailing Address
Phone number
(732) 450-3500
Established
New Jersey since 02/14/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CANTONE, ANTHONY JOSEPHCHIEF EXECUTIVE OFFICER1066139
KING, STEPHEN PHILIPCHIEF COMPLIANCE OFFICER & GENERAL COUNSEL1590508
WALSH, PETER JAMESCFO1190458

Disclosures

Regulatory Event13
Civil Event1
Arbitration2
Bond1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CANTONE RESEARCH INC.

CRD#: 26314

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