Kenneth L. Kramer
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 La Cour Kramer was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1990. Kenneth had worked at 4 firms and has passed the Series 63, Series 7 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
January 13, 1993 - September 16, 2004
ADVANTAGE CAPITAL CORPORATION
January 13, 1993 - September 16, 2004
ADVANTAGE CAPITAL CORPORATION
November 12, 1990 - December 31, 1992
CETERA WEALTH SERVICES, LLC
June 13, 1990 - October 31, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
June 13, 1990 - October 31, 1990
TRANSAMERICA FINANCIAL ADVISORS, 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
ADVANTAGE CAPITAL CORPORATION
CRD#: 146 / SEC#: , 8-5072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP INC. | SHAREHOLDER | |
| FIELDS, INGER WILSON | FNOP | 1690043 |
| KRUSSEL, PETER | CHIEF COMPLIANCE OFFICER | 2534106 |
| PEET, WILLIAM GERARD | MUNICIPAL PRINCIPAL | 2139630 |
| PRATER, HELEN HOWARD | COO | 1354495 |
| ROTH, RALPH LAWRENCE | DIRECTOR | 1432179 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR/SVP/TREASURER/CFO | 1292456 |
| SCHLAFLY, MARK JOSEPH | PRESIDENT/CEO | 1091509 |
| SHIPLEY, THOMAS ALLEN | SVP | 422266 |
| SORKIN, NOAH DAVID | DIRECTOR | |
| WELLS, THOMAS MELVIN | CLO, SVP, SECRETARY | 731190 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
| Bond | 1 |
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.
