Kenneth J. Mcfarland
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 John Mcfarland, CFP® was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 6 firms and has passed the Series 65, Series 63 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
June 20, 2003 - April 11, 2006
KESTRA INVESTMENT SERVICES, LLC
April 2, 2003 - July 18, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 2, 2003 - July 18, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 21, 2003 - January 30, 2023
MPM WEALTH ADVISORS
October 16, 2002 - April 2, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
October 16, 2002 - April 2, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 14, 1995 - August 22, 1995
WATERSTONE FINANCIAL GROUP, INC.
August 14, 1995 - August 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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