Kenneth M. Bristow
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 Michael Bristow JR was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1995. Kenneth had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2006 - October 2, 2009
GUNNALLEN FINANCIAL, INC
November 24, 2004 - October 2, 2009
GUNNALLEN FINANCIAL, INC
January 27, 2004 - October 25, 2004
LH ROSS & COMPANY, INC.
May 15, 2003 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
October 15, 2002 - March 14, 2003
DOMESTIC SECURITIES, INC.
May 15, 1995 - October 10, 2002
CONTINENTAL BROKER-DEALER CORP.
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: 11/1/2002
Limited Representative-Equity Trader ExamCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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