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KV

Kenneth K. Vaishville

Some features on this profile are disabled
CRD#: 2286184
KV

Professional summary

Kenneth Kirk Vaishville was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth Kirk Vaishville, who also goes by K Kirk Vaishville, K.kirk Vaishville, Kirk Vaishville, 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 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

K Kirk Vaishville | K.kirk Vaishville | Kirk Vaishville

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 12, 2018 - August 17, 2018

NYPPEX, LLC

BD
CRD#: 47654
LANSING, MI
Past

February 16, 2018 - March 19, 2018

GLOBAL CAPITAL STRATEGIES

RIA
CRD#: 290328
New York, NY
Past

February 14, 2018 - April 12, 2018

CANTELLA & CO., INC.

BD
CRD#: 13905
New York, NY
Past

July 29, 2013 - February 12, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
NEW YORK, NY
Past

June 25, 2013 - February 12, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
NEW YORK, NY
Past

September 29, 2010 - July 5, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

September 29, 2010 - July 5, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

May 13, 2005 - October 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

May 13, 2005 - October 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 11, 2005 - May 18, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

October 21, 2003 - May 18, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

October 23, 1996 - August 19, 2003

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY
Past

January 1, 1996 - October 29, 1996

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

February 16, 1993 - January 7, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 28, 1993 - February 8, 1993

L.C. WEGARD & CO., INC.

BD
CRD#: 3722
NEW YORK, 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: 5/12/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/25/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 5/7/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1996
General Securities Principal Examination

Current Firm

NL
NYPPEX, LLC
ALLEN CAPITAL MARKETS LLC | OFFROAD RESEARCH | OFFROAD CAPITAL MARKETS LLC | OFFROAD CAPITAL | OFFROAD ADVISORS | NYPPEX, LLC | NYPPEX PRIVATE MARKETS | NYPPE, LLC | NYPPE NETWORKS LLC | NYPPE LLC | NEW YORK PRIVATE PLACEMENT NETWORK, LLC | NEW YORK PRIVATE PLACEMENT EXCHANGE LLC

CRD#: 47654 / SEC#: , 8-51849

BD
Approved by SEC on 11/29/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/27/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NYPPEX HOLDINGS LLCOWNER
VITTOR, GREG TODDFINOP1864219
SCHUNK, MICHAEL JOSEPHCHIEF COMPLIANCE OFFICER732595

Disclosures

Regulatory Event10
Civil Event4

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

NYPPEX, LLC

CRD#: 47654

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