Kenneth W. Carlson
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 William Carlson, who also goes by Ken Carlson, Kenneth W Carlson, Kenneth William Carlson, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1994. Kenneth had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 31, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2019 - March 13, 2020
AMERANT INVESTMENTS, INC.
September 23, 2019 - March 13, 2020
AMERANT INVESTMENTS, INC.
August 23, 2019 - September 10, 2019
TD AMERITRADE, INC.
July 18, 2019 - September 10, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 10, 2019 - September 10, 2019
TD AMERITRADE, INC.
August 22, 2018 - December 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2018 - December 17, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2017 - May 1, 2017
OSAIC SERVICES, INC.
October 14, 2008 - November 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2006 - February 1, 2007
COMERICA SECURITIES
September 27, 2004 - December 31, 2004
PFS INVESTMENTS INC.
April 23, 1996 - July 16, 2002
CHARLES SCHWAB & CO., INC.
April 17, 1996 - July 16, 2002
CHARLES SCHWAB & CO., INC.
July 24, 1995 - March 18, 1996
MORGAN STANLEY DW INC.
November 18, 1994 - April 11, 1995
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
AMERANT INVESTMENTS, INC.
CRD#: 117284 / SEC#: 801-61889, 8-53612
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
AMERANT INVESTMENTS, INC.
CRD#: 117284 / SEC#: 801-61889, 8-53612
Contact information
SEC notice filing (8 States and Territories)
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERANT BANK, N.A. | SHAREHOLDER | |
| CALDERON YEPEZ, SHARYMAR EGLLEE | DIRECTOR | 7809045 |
| CAPRILES, ALBERTO MANUEL | DIRECTOR | 6998024 |
| GARGANTA, ANDRES JOSE | DIRECTOR | 5483075 |
| GUERRERO, SERGIO EMILIANO MR. | COO & FINOP | 5718350 |
| IAFIGLIOLA, CARLOS | DIRECTOR | 7285620 |
| LUCAS, EMERIS DEL VALLE | BRANCH MANAGER | 5193416 |
| RESTREPO, JOSE VICENTE | CCO | 6148942 |
Regulatory assets under management
| Total Number of Accounts | 1,194 |
| AUM (Assets Under Management) | $ 688,203,169 |
Disclosures
| Regulatory Event | 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.
