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KD

Kenneth A. Dayton

Some features on this profile are disabled
CRD#: 2257725
KD

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 Anthony Dayton was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 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)

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 13, 2017 - April 27, 2020

EXECUTIVE SERVICES SECURITIES, LLC

RIA
CRD#: 25299
ATLANTA, GA
Past

June 22, 2017 - April 27, 2020

EXECUTIVE SERVICES SECURITIES, LLC

BD
CRD#: 25299
ATLANTA, GA
Past

October 18, 2016 - May 10, 2017

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FORT LAUDERDALE, FL
Past

February 9, 2004 - September 15, 2016

NEWPORT GROUP SECURITIES, INC.

RIA
CRD#: 29722
BELLEAIR, FL
Past

November 13, 2002 - September 15, 2016

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
LAKE MARY, FL
Past

October 7, 1993 - October 2, 1997

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

July 22, 1992 - September 24, 1993

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

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: 11/25/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/2002
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 6
Date: 11/12/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

ES
EXECUTIVE SERVICES SECURITIES, LLC
EXECUTIVE SERVICES SECURITIES, INC. | ONE SECURITIES CORPORATION | ONE SECURITIES CORP. | EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299 / SEC#: , 8-41649

Georgia
Registered Investment Advisory firm - SEC (7/5/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Mailing Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Phone number
(404) 504-3800
Established
Georgia since 12/23/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
17

FINRA licenses (49 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#
NFP CORP.SOLE MEMBER
FELTS, KENNETH LEECFO
KROELL, EDWARD HAROLDCHIEF COMPLIANCE OFFICER2615310
MOO, VERONICA EI CHUNDIRECTOR5867442
O'MALLEY, EDWARD GEORGEDIRECTOR5902666
SCHNEIDER, BRETT RONALDDIRECTOR5636953

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

EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299

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