Kenneth Y. Nipp

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CRD#: 2224206

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 Ying Nipp, who also goes by Ken Nipp, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Nipp

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. AMERICAN NATIONAL INSURANCE COMPANY-Y-LAGUNA HILLS, CA-INSURANCE-LIFE SALES DIRECTOR-08/2019-160-160-WORK WITH INSURANCE AGENTS TO MEET CLIENT NEEDS.

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

January 25, 2024 - September 18, 2024

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

GALVESTON, TX

Past

June 17, 2020 - December 31, 2023

BFC PLANNING, INC.

RIA

CRD#: 119682

Laguna Hills, CA

Past

June 17, 2020 - December 31, 2023

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

Laguna Hills, CA

Past

July 24, 2017 - March 4, 2019

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

October 3, 2005 - December 31, 2016

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

MISSION VIEJO, CA

Past

August 17, 2004 - August 19, 2005

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

IRVINE, CA

Past

August 17, 2004 - August 19, 2005

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

December 19, 2002 - July 21, 2004

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

July 8, 1997 - November 7, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WHITTIER, CA

Past

April 23, 1992 - November 7, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

IAR

Series 65

Date: 6/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/21/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/21/1992

General Securities Representative Examination

Current Firm

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

One Moody Plaza, Suite 1463, Galveston, TX 77550

Mailing Address

One Moody Plaza Suite 1463, Galveston, TX 77550

Phone number

(409) 621-7809

Established

Texas since 12/21/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
AMERICAN NATIONAL INSURANCE COMPANY	DIRECT OWNER
LUIKART, THAD MICHAEL	DIRECTOR, PRESIDENT & CEO	5111050
MERRILL, BRODY JASON	SVP, CFO, FINOP	5450137
WHITE, STACEY LEIGH	AVP, CHIEF COMPLIANCE OFFICER	2721039

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth Y. Nipp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BFC PLANNING, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

SAYBRUS EQUITY SERVICES, LLC

STATE FARM VP MANAGEMENT CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

STATE FARM VP MANAGEMENT CORP.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/1999

Series 63

Date: 4/24/1992

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/21/1992

Series 7

Date: 4/21/1992

Current Firm

ANICO FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (18 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ANICO FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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