Kenneth D. Wilke
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 Dale Wilke, who also goes by Ken Wilke, Kenneth D Wilke, Kenny Wilke, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2009 - July 3, 2018
ADP BROKER-DEALER, INC.
July 14, 2006 - November 2, 2007
FIRST INDEPENDENT ADVISORY SERVICES, INC.
February 24, 2006 - November 2, 2007
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
February 12, 2004 - November 29, 2005
NAVIGATOR SECURITIES LIMITED
August 31, 2001 - July 21, 2003
BENCHMARK SECURITIES GROUP, INC.
September 15, 2000 - January 24, 2001
BENCHMARK SECURITIES GROUP, INC.
August 3, 1998 - January 14, 2000
UBS FINANCIAL SERVICES 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
Series 55
Date: 9/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
