Ken J. Koubsky

KAIZEN WEALTH ADVISORS

Omaha, NE

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CRD#: 2703402

Professional summary

Ken James Koubsky, CFP® is a registered financial advisor currently at KAIZEN WEALTH ADVISORS, LLC located in Omaha, Nebraska.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I am a licensed insurance agent spending several hours a month servicing existing policyholders and initiating coverage for perspective new policyholders.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ken James Koubsky'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®

CFP^®

Certified Financial Planner

Experience

Current

June 28, 2007 - Present

KAIZEN WEALTH ADVISORS, LLC

RIA

CRD#: 143525

Omaha, NE

Past

February 18, 2003 - June 21, 2007

MARINER WEALTH ADVISORS

RIA

CRD#: 109904

OMAHA, NE

Past

January 16, 2003 - June 22, 2007

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

June 26, 2000 - January 15, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

OMAHA, NE

Past

November 4, 1998 - January 15, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

December 24, 1996 - November 10, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 22, 1996 - October 29, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

Nebraska
(6/28/2007)

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: 1/3/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/23/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KAIZEN WEALTH ADVISORS, LLC

KAIZEN WEALTH ADVISORS, LLC | KEN J KOUBSKY

CRD#: 143525 / SEC#: 801-67756

RIA

Registered Investment Advisory firm - (8/7/2008 Terminated)

Nebraska

Registered Investment Advisory firm - (7/3/2008 Approved)

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).

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Contact information

Main Address

Omaha, NE

Mailing Address

Phone number

(402) 880-8118

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Ken J. Koubsky

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ken James Koubsky's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAIZEN WEALTH ADVISORS, LLC

MARINER WEALTH ADVISORS

QA3 FINANCIAL CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/1997

Series 63

Date: 1/30/1996

Series 7

Date: 12/23/1996

Series 6

Date: 1/30/1996

Current Firm

KAIZEN WEALTH ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

KAIZEN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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