Kenneth Kass
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 Kass was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1965. Kenneth had worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1991 - December 11, 1996
BENEFICIAL CAPITAL INC.
November 15, 1985 - April 27, 1990
KENNETH, JEROME & CO.,INC.
October 1, 1965 - July 30, 1984
KKL & 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
Current Firm
BENEFICIAL CAPITAL INC.
CRD#: 8219 / SEC#: , 8-24688
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHATZ, RICHARD | PRESIDENT | 412683 |
| SCHATZ, RICHARD | CHIEF EXECITIVE OFFICER | |
| SCHATZ, RICHARD | CHIEF COMPLIANCE OFFICER |
Disclosures
| Regulatory Event | 2 |
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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