Kenneth M. Florian
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 M Florian, who also goes by Kenneth Michael Florian, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1993. Kenneth had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2018 - June 28, 2019
LPL FINANCIAL LLC
September 10, 2018 - June 28, 2019
LPL FINANCIAL LLC
December 21, 2012 - July 31, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 21, 2012 - July 31, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2010 - December 22, 2011
PNC WEALTH MANAGEMENT LLC
December 8, 2010 - December 22, 2011
PNC WEALTH MANAGEMENT LLC
June 15, 2005 - July 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 15, 2005 - July 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2004 - May 24, 2005
MORGAN KEEGAN & COMPANY, LLC
July 29, 2004 - May 24, 2005
MORGAN KEEGAN & COMPANY, LLC
June 6, 2003 - August 13, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
May 29, 2003 - August 4, 2004
PFIC SECURITIES CORPORATION
March 9, 2001 - May 27, 2003
MORGAN STANLEY DW INC.
December 8, 2000 - May 27, 2003
MORGAN STANLEY DW INC.
November 18, 1996 - December 11, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1996 - December 11, 1996
GUARANTY BROKERAGE SERVICES, INC.
March 16, 1993 - September 29, 1995
EDWARD JONES
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/7/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
