Kenneth J. Barroga
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 James Barroga was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1992. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2011 - December 31, 2020
CROWN CAPITAL SECURITIES, L.P.
July 8, 2011 - December 31, 2020
CROWN CAPITAL SECURITIES, L.P.
July 2, 2009 - June 22, 2011
LPL FINANCIAL LLC
July 2, 2009 - June 22, 2011
LPL FINANCIAL LLC
May 2, 2009 - July 2, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - July 2, 2009
CHASE INVESTMENT SERVICES CORP.
February 21, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
April 26, 2002 - May 2, 2009
WAMU INVESTMENTS, INC.
May 2, 2001 - May 3, 2002
WELLS FARGO INVESTMENTS, LLC
September 20, 1993 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 15, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
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
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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