Kenneth H. Bock
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 Hal Bock was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1971. Kenneth had worked at 16 firms and has passed the SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2013 - February 24, 2016
VANDERBILT SECURITIES, LLC
November 10, 2009 - November 28, 2012
NORTHEAST SECURITIES, LLC
June 2, 2009 - November 12, 2009
BENJAMIN & JEROLD BROKERAGE I, LLC
May 16, 2007 - March 19, 2009
WESTROCK ADVISORS, INC.
January 31, 2007 - May 16, 2007
LEEB BROKERAGE SERVICES, INC.
May 11, 1995 - November 20, 2006
FIRST MONTAUK SECURITIES CORP.
April 9, 1990 - May 8, 1995
GRUNTAL & CO., L.L.C.
November 1, 1988 - April 17, 1990
JSC SECURITIES, INC.
November 12, 1987 - November 19, 1988
KUHNS BROTHERS & LAIDLAW, INC.
October 23, 1987 - November 17, 1987
HAAS SECURITIES CORPORATION
October 3, 1986 - October 12, 1987
JEFFREY CASDIN & CO. INC.
June 21, 1982 - July 22, 1986
HAAS SECURITIES CORPORATION
January 13, 1981 - October 8, 1981
SOURCE SECURITIES CORPORATION
February 21, 1980 - October 5, 1981
ANGELES SECURITIES CORPORATION
May 24, 1977 - July 17, 1979
STERN, LAUER & CO.
April 1, 1976 - May 23, 1977
J.P. MORGAN SECURITIES LLC
March 8, 1971 - April 21, 1976
MITCHEL, SCHREIBER, WATTS & CO.,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
PC
Date: 5/1/1983
AMEX Put and Call ExamSeries 1
Date: 4/4/1960
Registered Representative ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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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