Kenneth Ro

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CRD#: 3131021

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 Ro 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, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

January 11, 2021 - March 31, 2021

WESCAP GROUP

RIA

CRD#: 104759

GLENDALE, CA

Past

May 19, 2011 - January 13, 2016

PLATINUM GLOBAL ADVISORS, LLC

RIA

CRD#: 157643

MANHATTAN BEACH, CA

Past

November 6, 2006 - May 10, 2011

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

LOS ANGELES, CA

Past

November 6, 2006 - May 10, 2011

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

LOS ANGELES, CA

Past

March 9, 2004 - November 6, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

IRVINE, CA

Past

March 9, 2004 - November 6, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

IRVINE, CA

Past

December 12, 2000 - April 2, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BEVERLY HILLS, CA

Past

December 5, 2000 - April 2, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 14, 1998 - December 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESCAP GROUP

WESCAP GROUP | WESCAP MANAGEMENT GROUP, INC. | WESCAP MANAGEMENT GROUP INC

CRD#: 104759 / SEC#: 801-32095

RIA

Registered Investment Advisory firm - (5/20/1988 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/8/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/13/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/8/1998

General Securities Representative Examination

Current Firm

WESCAP GROUP

WESCAP GROUP | WESCAP MANAGEMENT GROUP, INC. | WESCAP MANAGEMENT GROUP INC

CRD#: 104759 / SEC#: 801-32095

RIA

Registered Investment Advisory firm - (5/20/1988 Approved)

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Contact information

Main Address

330 N. Brand Blvd Suite 850, Glendale, CA 91203

Mailing Address

Phone number

(818) 563-5170

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESCAP MANAGEMENT GROUP INC ADV BROCHURE (8/14/2025)

Regulatory assets under management

Total Number of Accounts	1,225
AUM (Assets Under Management)	$ 985,000,000

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 Ro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PLATINUM GLOBAL ADVISORS, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WESCAP GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 1/8/2021

Series 63

Date: 3/8/1999

Series 31

Date: 3/13/2006

Series 7

Date: 12/8/1998

Current Firm

WESCAP GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESCAP GROUP

TRUST BUT VERIFY

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