Kenneth L. Daub
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 Lane Daub, who also goes by Ken Daub, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 3 firms and has passed the Series 63, Series 7, Series 28 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
February 24, 2010 - December 20, 2013
WILSHIRE PARK ADVISORS, LLC
May 29, 2009 - February 18, 2010
SYNERGY ADVISORS, LLC
August 12, 1998 - December 12, 2007
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 11/20/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WILSHIRE PARK ADVISORS, LLC
CRD#: 150722 / SEC#: , 8-68286
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
