KW
Kenneth M. Wasiak
ROBOTTI SECURITIES
New York, NY 10017
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CRD#: 2760406
KW
Professional summary
Kenneth Michael Wasiak is a registered financial professional currently at ROBOTTI SECURITIES, LLC located in New York, New York.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Michael Wasiak'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®
NoneExperience
Current
September 19, 1997 - Present
ROBOTTI SECURITIES, LLC
Office #1: 125 Park Avenue, Suite 1607, New York, NY 10017Office #2: 125 Park Avenue, Suite 1607, New York, NY 10017BD
CRD#: 13251
New York, NY
Past
May 8, 1997 - July 24, 1997
DANALLEN INVESTMENT GROUP INC.
BD
CRD#: 38968
ASTORIA, NY
Past
January 1, 1997 - April 1, 1999
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
November 11, 1996 - January 15, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
BD
CRD#: 20016
DEERFIELD BEACH, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/15/2000)
RR
California(11/6/1998)
RR
Connecticut(9/14/2000)
RR
Delaware(1/7/2022)
RR
District of Columbia(10/3/2016)
RR
Florida(6/28/2005)
RR
Georgia(1/4/2022)
RR
Idaho(9/14/2000)
RR
Illinois(4/23/2003)
RR
Indiana(9/14/2000)
RR
Maine(12/23/2016)
RR
Maryland(9/14/2000)
RR
Massachusetts(9/14/2000)
RR
Missouri(10/24/2024)
RR
Nebraska(2/5/2019)
RR
New Jersey(9/14/2000)
RR
New York(9/15/1997)
RR
North Carolina(8/27/2003)
RR
Ohio(11/6/2025)
RR
Oregon(1/17/2002)
RR
Pennsylvania(9/14/2000)
RR
South Carolina(1/12/2000)
RR
Texas(8/29/2002)
RR
Utah(9/14/2000)
RR
Virginia(9/15/2000)
RR
Washington(6/28/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RS
ROBOTTI SECURITIES, LLC
ROBOTTI & COMPANY, INCORPORATED | ROBOTTI SECURITIES, LLC | ROBOTTI & ENG, INCORPORATED | ROBOTTI & ENG, INC. | ROBOTTI & COMPANY, LLC
CRD#: 13251 / SEC#: , 8-28886
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
125 Park Avenue, Suite 1607, New York, NY 10017
Mailing Address
125 Park Avenue, Suite 1607, New York, NY 10017
Phone number
(212) 986-4800
Established
New York since 03/07/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (32 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBOTTI & COMPANY, INCORPORATED | STOCKHOLDER 100% OWNER OF APPLICANT | |
| KELLEHER, DENNIS MICHAEL | CHIEF COMPLIANCE OFFICER | 2107342 |
| MCQUEENEY, DAVID VINCENT | SROP, ROP | 2440806 |
| MEVORAH, ERWIN I | CFO, FIN/OP & SECRETARY | 1944735 |
| ROBOTTI, ROBERT EDWARD | PRESIDENT, CEO, GSP, TREASURER | 732905 |
| ROBOTTI, SUZANNE BENSON | DIRECTOR | 4616454 |
| SEKLIR, NANCY ELIZABETH | DIRECTOR | 1756843 |
| WASIAK, KENNETH RONALD | DIRECTOR | 1485703 |
Disclosures
| Regulatory Event | 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.
