Kenneth G. Merkel
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 George Merkel II, who also goes by Kage Merkel, Kg Merkel, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1996. Kenneth had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2012 - September 1, 2017
WILSON-DAVIS & CO., INC.
September 28, 2011 - July 31, 2012
BRILL SECURITIES, INC.
February 19, 2010 - August 10, 2011
AEGIS CAPITAL CORP.
November 24, 2008 - March 2, 2010
GUNNALLEN FINANCIAL, INC
April 21, 2005 - October 27, 2008
BASIC INVESTORS INC.
February 13, 2004 - April 21, 2005
CARLTON CAPITAL INC.
January 2, 2004 - January 23, 2004
CARLTON CAPITAL INC.
April 23, 1998 - October 21, 2003
MAY, DAVIS GROUP INC.
July 24, 1997 - April 15, 1998
HD BROUS & CO., INC.
July 15, 1997 - August 1, 1997
D.L. CROMWELL INVESTMENTS, INC.
November 29, 1996 - July 23, 1997
ROYCE INVESTMENT GROUP, INC.
November 18, 1996 - December 4, 1996
KENSINGTON WELLS INCORPORATED
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
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 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.
