Kenneth G. Colbo
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 Gordon Colbo was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - January 4, 2016
KMS FINANCIAL SERVICES, INC.
June 2, 2015 - December 31, 2015
KMS FINANCIAL SERVICES, INC.
May 18, 2010 - June 2, 2015
SII INVESTMENTS, INC.
May 17, 2010 - June 2, 2015
SII INVESTMENTS, INC.
January 29, 2008 - May 19, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
October 4, 2004 - May 19, 2010
PACIFIC WEST SECURITIES, INC.
May 13, 2003 - October 8, 2004
BRECEK & YOUNG ADVISORS, INC.
March 1, 2002 - May 12, 2003
S.G. LONG & COMPANY
July 24, 2000 - March 6, 2002
BRECEK & YOUNG ADVISORS, INC.
February 12, 1996 - August 7, 2000
SIGNATOR FINANCIAL SERVICES, 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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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.
