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KH

Kenneth L. Haley

PREFERRED CAPITAL SECURITIES
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 2239091
KH

Professional summary

Kenneth Louis Haley is a registered financial professional currently at PREFERRED CAPITAL SECURITIES, LLC located in Atlanta, Georgia.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1992. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Louis Haley's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 15, 2016 - Present

PREFERRED CAPITAL SECURITIES, LLC

Office #1: 3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327Office #2: 3290 Northside Parkway Nw Suite 800, Atlanta, GA 30327
BD
CRD#: 169719
Atlanta, GA
Past

October 13, 2014 - November 28, 2016

ANTHEM SECURITIES, INC.

BD
CRD#: 42420
Peachtree Corners, GA
Past

November 26, 2012 - September 25, 2014

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PITTSBURGH, PA
Past

November 23, 2012 - September 25, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PITTSBURGH, PA
Past

April 12, 2006 - October 10, 2012

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
ALPHARETTA, GA
Past

April 5, 2006 - October 10, 2012

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ALPHARETTA, GA
Past

December 16, 2004 - March 31, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ATLANTA, GA
Past

December 16, 2004 - March 31, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ATLANTA, GA
Past

February 11, 2004 - December 3, 2004

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
MAREITTA, GA
Past

June 20, 2001 - December 3, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

October 20, 1999 - July 6, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 22, 1992 - October 15, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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
Georgia
(12/15/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/30/2007
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PREFERRED CAPITAL SECURITIES, LLC
PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719 / SEC#: , 8-69382

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327
Mailing Address
3290 Northside Parkway, Nw Suite 800, Atlanta, GA 30327
Phone number
(855) 330-6594
Established
Georgia since 09/17/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BADGER CREEK HOLDINGS, LLCSOLE OWNER
BEATON, DANIEL STEWARTFINOP4240769
GRABER, ERIC RYANPRESIDENT4576496
MCLEAN, CLAIRE ETHRIDGECHIEF OPERATIONS OFFICER7810116
SMALL, ORIT HEATHERCHIEF COMPLIANCE OFFICER2786459
SMITH, JEFFERY ALLENCHIEF EXECUTIVE OFFICER4039773

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.

Company Information

PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719Atlanta, GA 30327

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