Kenneth Lee Kahn
Professional Summary
Kenneth Lee Kahn was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1974 - 2003. Kenneth had worked at 9 firms and has passed the Series 63, Series 1, Series 8, Series 14, Series 4, Series 40 and F04 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
CROIX SECURITIES, INC. | VIE INSTITUTIONAL SERVICES, INC.
Contact Information
Established
Delaware since 02/05/1999Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNIVERSAL TRADING TECHNOLOGIES | SHAREHOLDER | — |
| ANDREWS, JENNIFER LYNN MRS. | TREASURER & FINOP | 4002299 |
| CLAYTON, KENNETH PRESTON | VICE PRESIDENT & DIRECTOR | 1243106 |
| CONNOLLY, JAMES MICHAEL | PRINCIPAL, SECRETARY & COMPLIANCE DIRECTOR | 1559931 |
| NOLE, DANIEL ANTHONY JR | CHIEF OPERATING OFFICER/SUPERVISORY PRINCIPAL TRADING | 2337267 |
| PAK, JAMES SUNGSHIK | DIRECTOR & SUPERVISORY PRINCIPAL | 2691776 |
| STAMOS, DEAN GERARD | PRESIDENT & DIRECTOR | 2099584 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Feb 1974Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jan 1991Series 40 — Registered Principal Examination
Passed Mar 1976F04 — Financial Principal Examination
Passed Feb 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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