Kenneth K. Kays
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 Keith Kays was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1970. Kenneth had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1 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
July 10, 1997 - November 30, 2020
MOLONEY SECURITIES CO., INC.
October 20, 1988 - July 10, 1997
FIRST GATEWAY SECURITIES INC.
April 19, 1988 - November 2, 1988
JIM BECHERER & CO.
February 1, 1988 - March 21, 1988
ROWLAND, SIMON & CO.
September 11, 1984 - February 1, 1988
I.M. SIMON & CO., INC.
September 1, 1971 - September 10, 1984
WZW FINANCIAL SERVICES, INC.
February 18, 1971 - September 18, 1971
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 21, 1970 - January 28, 1971
EDWARD JONES
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
PC
Date: 3/1/1977
AMEX Put and Call ExamSeries 1
Date: 12/22/1966
Registered Representative ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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