Kenneth Kunz
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 Kunz, who also goes by Kenneth Otto Kunz, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1973. Kenneth had worked at 5 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - July 1, 2013
FIRST BROKERS SECURITIES LLC
April 14, 1993 - January 29, 2007
FIRST BROKERS SECURITIES LLC
January 28, 1986 - January 18, 1990
W.A. CAPITAL MARKETS
August 30, 1978 - January 25, 1984
GINTEL & CO., LLC
February 17, 1978 - August 29, 1978
MABON, NUGENT & CO.
December 24, 1973 - February 27, 1978
THE GARVIN BANTEL CORP.
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
Series 1
Date: 12/17/1973
Registered Representative ExaminationCurrent Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
