Kendrick C. Webb

ROXIE WEBB SECURITIES MANAGEMENT,INC.

Prescott, AZ 86305

Some features on this profile are disabled

CRD#: 2694155

Professional summary

Kendrick Colton Webb, who also goes by Ken Colton Webb, is a registered financial advisor currently at ROXIE WEBB SECURITIES MANAGEMENT,INC. located in Prescott, Arizona.

Kendrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kendrick has worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 52 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Colton Webb

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kendrick Colton Webb's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 7, 2010 - Present

ROXIE WEBB SECURITIES MANAGEMENT,INC.

Office #1: 1000 Ainsworth Drive Suite 130, Prescott, AZ 86305

RIA

CRD#: 115951

Prescott, AZ

Past

October 27, 2005 - January 4, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

July 11, 2003 - May 6, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 8, 2002 - July 26, 2002

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

January 27, 1998 - July 9, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 10, 1997 - October 1, 1997

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

April 23, 1996 - July 31, 1996

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/7/2010)

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

State Security Law Exam

IAR

Series 65

Date: 6/24/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/5/2002

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 52

Date: 4/22/1996

Municipal Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 1/19/1996

Non-Member General Securities Examination

Current Firm

ROXIE WEBB SECURITIES MANAGEMENT,INC.

REGISTERED INVESTMENT ADVISER | ROXIE WEBB SECURITIES MANAGEMENT,INC. | ROXIE WEBB SECURITIES MANAGEMENT, INC. | ROCKWELL C. WEBB ROXIE WEBB SECURITIES MANAGEMENT, INC.

CRD#: 115951 / SEC#:

Arizona

Registered Investment Advisory firm - (1/18/1996 Approved)

California

Registered Investment Advisory firm - (3/18/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Ainsworth Drive Suite 130, Prescott, AZ 86305

Mailing Address

Phone number

(928) 445-0500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 103,762,128

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.

Similar Advisors

Scott Lang

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

Prescott, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kendrick C. Webb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kendrick Colton Webb's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

A. G. EDWARDS & SONS, INC.

VANGUARD MARKETING CORPORATION

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/24/2009

Series 63

Date: 7/3/2002

Series 7

Date: 7/9/2003

Series 6

Date: 7/5/2002

Series 52

Date: 4/22/1996

Series 2

Date: 1/19/1996

Current Firm

ROXIE WEBB SECURITIES MANAGEMENT,INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROXIE WEBB SECURITIES MANAGEMENT,INC.

TRUST BUT VERIFY

Similar Advisors