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KS

Kenneth J. Spadaford

Some features on this profile are disabled
CRD#: 2397060
KS

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 Spadaford, who also goes by Kenneth Spadaford, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1993. Kenneth had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth Spadaford

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

June 8, 2012 - December 31, 2017

PCBB CAPITAL MARKETS, LLC

BD
CRD#: 104428
WALNUT CREEK, CA
Past

November 1, 2010 - December 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 8, 2005 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 20, 2002 - December 2, 2005

HEDGEBAY SECURITIES LLC

BD
CRD#: 121136
WESTPORT, CT
Past

August 9, 2002 - January 8, 2003

BROADPOINT DESCAP

BD
CRD#: 14997
NEW YORK, NY
Past

May 17, 2002 - December 11, 2002

CAHN CAPITAL CORP.

BD
CRD#: 34843
NEW YORK, NY
Past

September 29, 1993 - March 1, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
RR
Series 63
Date: 10/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/1/2002
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/2002
General Securities Principal Examination

Current Firm

PC
PCBB CAPITAL MARKETS, LLC
BANC INVESTMENT GROUP, LLC | ROC SECURITIES, LLC | PCBB CAPITAL MARKETS, LLC | FINANCIALOXYGEN.COM, INC. | FINANCIALOXYGEN, INC.

CRD#: 104428 / SEC#: , 8-52889

BD
Terminated by SEC on 02/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/14/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC COAST BANKERS' BANK100% OWNER
BROWN, STEVEN ARTHURCHAIRMAN OF PCBB CAPITAL MARKETS, LLC, PRINCIPAL, PRESIDENT AND CEO2140935
DOHREN, MICHAEL SCOTTCFO, FINOP4453093
SZTUKOWSKI, ALLEN JAMESMANAGING DIRECTOR/PRINCIPAL/CHIEF COMPLIANCE OFFICER2230934

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

PCBB CAPITAL MARKETS, LLC

CRD#: 104428

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