Kenneth W. Temple
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 Temple, who also goes by Ken Temple, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1994. Kenneth had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55 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
November 17, 2014 - April 27, 2017
BTIG, LLC
April 5, 2005 - April 5, 2013
COWEN EXECUTION SERVICES LLC
December 4, 2000 - December 14, 2004
COMMERZ MARKETS LLC
October 10, 2000 - November 9, 2000
CREDIT SUISSE SECURITIES (USA) LLC
April 3, 2000 - October 10, 2000
PERSHING LLC
November 9, 1995 - March 22, 2000
ROBERT FLEMING INC.
August 4, 1994 - September 25, 1995
SMITH NEW COURT, 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
Series 55
Date: 5/17/2004
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil 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.
