Kenneth M. Dwyer
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 Michael Dwyer, who also goes by Ken Dwyer, Kenneth Micheal Dwyer, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 10 firms and has passed the Series 63 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
July 4, 2012 - June 18, 2013
JOHN THOMAS FINANCIAL
September 9, 2011 - July 13, 2012
J.D. NICHOLAS & ASSOCIATES, INC.
May 6, 2010 - September 19, 2011
EKN FINANCIAL SERVICES INC.
July 18, 2005 - May 4, 2010
ITRADEDIRECT.COM CORP
February 7, 2005 - April 7, 2005
MILESTONE FINANCIAL SERVICES, INC.
December 1, 2004 - March 4, 2005
J.P. TURNER & COMPANY, L.L.C.
January 7, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
May 22, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
April 18, 2002 - June 18, 2003
GUNNALLEN FINANCIAL, INC
August 10, 1998 - May 16, 2002
SEABOARD SECURITIES, 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
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
