Kenneth Ray Goodall
Professional Summary
Kenneth Ray Goodall, who also goes by Ken Goodall, is a registered financial advisor currently at ITAU BBA USA SECURITIES, INC. located in New York, New York. Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ken Goodall
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.
Contact Information
Main Address
599 Lexington Avenue 34th Floor 34th Floor, New York, NY, 10022Mailing Address
599 Lexington Avenue 34th Floor, New York, NY, 10022Phone Number
(212) 845-0600Established
Delaware since 11/06/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
38FINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ITB HOLDING BRASIL PARTICIPAÇÕES LTD | DIRECT OWNER | — |
| DUKES, MATTHEW GARDNER | EXECUTIVE REPRESENTATIVE | 4830845 |
| GLYNN, MICHAEL GERARD | FINOP | 3219445 |
| GOODALL, KENNETH RAY | CHIEF COMPLIANCE OFFICER | 2682569 |
| LINNET, LEONARD BRUNO | DIRECTOR | 4400967 |
| MCCLANAN, JULIA CHEN | DIRECTOR | 4591590 |
| WILBERG, FELIPE WEIL | DIRECTOR | 2568663 |
Disclosures
Regulatory Event
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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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Primary Firm SEC Registration
ITAU BBA USA SECURITIES, INC. | ITAU USA SECURITIES INC. | ITAU SECURITIES INC.
State Registrations and Notice Filings
(9/28/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1996About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jun 1996About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kenneth Ray Goodall's CRS (Customer Relationship Summary).
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