Kenneth S. Gillespie
Professional summary
Kenneth Shane Gillespie, who also goes by Ken Gillespie, Kenneth S Gillespie, Kenneth Gillespie, is a registered financial advisor currently at HERMOSA WEALTH MANAGEMENT located in Hermosa Beach, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kenneth has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 50, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Shane Gillespie's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2020 - Present
HERMOSA WEALTH MANAGEMENT
Office #1: 2447 Pacific Coast Highway 2nd Floor, Hermosa Beach, CA 90254February 14, 2017 - April 24, 2019
OPPENHEIMER & CO. INC.
April 4, 2016 - April 24, 2019
OPPENHEIMER & CO. INC.
June 6, 2012 - April 4, 2016
WILLIAM BLAIR
July 28, 2008 - May 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2007 - June 25, 2008
UBS SECURITIES LLC
December 21, 2001 - July 23, 2004
UBS FINANCIAL SERVICES INC.
September 16, 1999 - October 11, 2001
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/24/2020)
(8/8/2025)
(8/2/2023)
Exams
Current Firm
HERMOSA WEALTH MANAGEMENT
CRD#: 310771 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 127 |
| AUM (Assets Under Management) | $ 23,762,500 |
Red Flags
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