Kenneth A. Zubeck
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 Andrew Zubeck was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1999. Kenneth had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - September 24, 2012
BMO ASSET MANAGEMENT CORP.
September 11, 2008 - June 8, 2012
M&I INVESTMENT MANAGEMENT CORP.
June 26, 2001 - August 26, 2004
NORTH STAR INVESTMENT SERVICES, INC.
May 5, 1999 - September 16, 1999
BANC ONE SECURITIES CORPORATION
Primary Firm SEC Registration
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
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
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 5,186,280,670 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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