Kenneth R. Lew

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CRD#: 2859388

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 Reginald Lew, who also goes by Kenneth R Lew, Ken R Lew, Kenneht Reginald Lew, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1997. Kenneth had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth R Lew | Ken R Lew | Kenneht Reginald Lew

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 28, 2018 - January 23, 2020

KEATS, CONNELLY & ASSOCIATES, INC

RIA

CRD#: 148884

PHOENIX, AZ

Past

March 8, 2017 - April 30, 2018

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SCOTTSDALE, AZ

Past

March 3, 2017 - April 30, 2018

OPPENHEIMER & CO. INC.

CRD#: 249

SCOTTSDALE, AZ

Past

October 11, 2016 - November 7, 2016

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Phoenix, AZ

Past

October 4, 2016 - November 7, 2016

BBVA SECURITIES INC.

CRD#: 27060

PHOENIX, AZ

Past

October 27, 2009 - October 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

October 27, 2009 - October 4, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SCOTTSDALE, AZ

Past

June 24, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PHOENIX, AZ

Past

May 30, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

PHOENIX, AZ

Past

July 7, 1997 - March 3, 1999

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

March 19, 1997 - April 14, 1997

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/18/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEATS, CONNELLY & ASSOCIATES, INC

KEATS, CONNELLY & ASSOCIATES, INC | KEATSCONNELLY | KEATS, CONNELLY AND ASSOCIATES, LLC

CRD#: 148884 / SEC#: 801-69866

RIA

Registered Investment Advisory firm - (5/27/2020 Terminated)

Arizona

Registered Investment Advisory firm - (1/4/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3336 N. 32nd Street Suite 100, Phoenix, AZ 85018

Mailing Address

Phone number

(602) 955-5007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth R. Lew

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2008

Series 63

Date: 3/18/1997

SIE

Date: 4/30/2018

Series 7

Date: 5/28/2008

Series 6

Date: 3/18/1997

Current Firm

KEATS, CONNELLY & ASSOCIATES, INC

Contact information

Documents

Red Flags

Company Information

KEATS, CONNELLY & ASSOCIATES, INC

TRUST BUT VERIFY

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