Kenneth G. Safian
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 Geisler Safian, who also goes by Kenneth Safian, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1970. Kenneth had worked at 4 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2009 - December 18, 2013
GRACE FINANCIAL GROUP LLC
February 1, 2002 - December 1, 2008
BURNHAM SECURITIES INC.
April 27, 1985 - March 1, 2002
SAFIAN INVESTMENT RESEARCH, INC.
October 8, 1970 - April 8, 1985
SMILEN INVESTMENT RESEARCH AND MANAGEMENT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/22/1958
Registered Representative ExaminationSeries 40
Date: 5/2/1969
Registered Principal ExaminationCurrent Firm
GRACE FINANCIAL GROUP LLC
CRD#: 104133 / SEC#: , 8-52606
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
