Kenneth W. Graybeal
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 Wayne Graybeal II, who also goes by Ken Graybeal, Kenneth W Graybeal II, Kenneth Wayne Graybeal III, Kenneth Wayne Graybeal, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1972. Kenneth had worked at 7 firms and has passed the Series 63, SIE, Series 3, PC, Series 1, Series 24, Series 53, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 1999 - July 17, 2017
CARTER, TERRY & COMPANY, INC.
November 4, 1994 - February 11, 1999
ARGENT SECURITIES, INC.
July 10, 1993 - November 30, 1993
VANGUARD CAPITAL
January 4, 1991 - May 5, 1993
J.C. BRADFORD & CO.
June 28, 1990 - January 10, 1991
A. G. EDWARDS & SONS, INC.
November 25, 1986 - July 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 8, 1984 - December 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 1972 - March 25, 1986
J.C. BRADFORD & CO.
Primary Firm SEC Registration
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
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
PC
Date: 6/18/1980
AMEX Put and Call ExamSeries 1
Date: 1/11/1972
Registered Representative ExaminationSeries 12
Date: 5/24/1978
NYSE Branch Manager ExaminationSeries 40
Date: 5/24/1978
Registered Principal ExaminationCurrent Firm
CARTER, TERRY & COMPANY, INC.
CRD#: 16365 / SEC#: 801-113129, 8-33797
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 111,326,459 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
