Kenneth J. Iselhart
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 Iselhart JR, CFP®, who also goes by Ken Iselhart, Kenneth J. Iselhart, Kenneth Iselhart, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1993. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2015 - October 31, 2017
CAPITAL ONE INVESTING, LLC
October 8, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
January 28, 2008 - November 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2005 - May 4, 2006
UBS FINANCIAL SERVICES INC.
April 6, 2005 - May 4, 2006
UBS FINANCIAL SERVICES INC.
December 10, 2002 - April 6, 2005
CITICORP INVESTMENT SERVICES
July 19, 1993 - April 6, 2005
CITICORP INVESTMENT SERVICES
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
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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