Kenneth A. Rhea

CANTOR FITZGERALD & CO.

Miami, FL 33131

Some features on this profile are disabled

CRD#: 2451736

Professional summary

Kenneth Alfred Rhea, who also goes by Kenneth Rhea, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Miami, Florida.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth Rhea

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) - BD

Click below to view Kenneth Alfred Rhea's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 26, 2018 - Present

CANTOR FITZGERALD & CO.

Office #1: 1111 Brickell Avenue Suite 2025, Miami, FL 33131

CRD#: 134

Miami, FL

Past

February 15, 2018 - November 12, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

BOCA RATON, FL

Past

December 7, 2011 - October 28, 2016

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

January 21, 2011 - October 3, 2011

CARIS & COMPANY, INC.

CRD#: 104235

SAN DIEGO, CA

Past

June 15, 2004 - August 31, 2010

B. RILEY SECURITIES, INC.

CRD#: 25027

LOS ANGELES, CA

Past

February 20, 2001 - September 3, 2003

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

January 13, 2001 - March 1, 2001

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 13, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 28, 1997 - June 14, 2000

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 28, 1995 - September 3, 1997

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

October 19, 1994 - March 2, 1995

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

September 27, 1994 - October 26, 1994

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

May 6, 1994 - October 26, 1994

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

Past

April 7, 1994 - April 20, 1994

S. D. COHN & CO., INC.

CRD#: 27827

HAUPPAUGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(9/20/2022)

Connecticut
(12/18/2019)

Delaware
(9/23/2025)

Florida
(11/26/2018)

Georgia
(5/25/2021)

Illinois
(9/23/2025)

Massachusetts
(12/18/2019)

New Hampshire
(12/19/2019)

New Jersey
(9/24/2025)

New York
(11/27/2018)

Texas
(9/23/2025)

Vermont
(5/19/2021)

Virginia
(12/18/2019)

Exams

State Security Law Exam

Series 63

Date: 4/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2019

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD & CO.

CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

110 East 59th Street 4th Floor, New York, NY, 10022

Mailing Address

110 East 59th Street 4th Floor, New York, NY, 10022

Phone number

(212) 938-5000

Established

New York since 09/25/1992

Firm type

Partnership

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CFS CF & CO I HOLDINGS, L.P.	MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
BANDELIER, PASCAL DANIEL	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES	4424051
CFLP CF&CO I HOLDINGS, L.P.	LIMITED PARTNER
KELLY, SAGE NOLAN	CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING	2528122
MERKEL, STEPHEN MARCUS	EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY	2366318
SALINAS, DANNY	CHIEF FINANCIAL OFFICER	6184109
SHIELDS, WILLIAM MICHAEL	CHIEF COMPLIANCE OFFICER	2380166
WALL, CHRISTIAN DOUGLAS	CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME	2751397

Disclosures

Regulatory Event

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kenneth A. Rhea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Alfred Rhea's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

CANACCORD GENUITY LLC

CARIS & COMPANY, INC.

B. RILEY SECURITIES, INC.

SANFORD C. BERNSTEIN & CO., LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

DEUTSCHE BANK SECURITIES INC.

FINANCIAL SQUARE PARTNERS

GKN SECURITIES CORP.

JOSEPHTHAL & CO., INC.

D. BLECH & COMPANY, INCORPORATED

S. D. COHN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/5/1994

Series 24

Date: 9/10/2019

Cboe BYX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

CANTOR FITZGERALD & CO.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CANTOR FITZGERALD & CO.

TRUST BUT VERIFY

Similar Advisors