Kenneth W. Sandberg
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 Wayne Sandberg, who also goes by Ken Sandberg, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1972. Kenneth had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2002 - August 27, 2010
1ST DISCOUNT BROKERAGE, INC.
March 27, 2001 - August 21, 2002
ACUMENT SECURITIES, INC.
November 27, 2000 - March 28, 2001
CGS FINANCIAL INC.
September 27, 1989 - November 27, 2000
SIMMONS & BISHOP CO. INC.
March 26, 1987 - June 17, 1989
WALL STREET WEST, INC.
January 30, 1986 - March 25, 1987
FIRST ARIZONA INVESTMENT SECURITIES, INC.
August 29, 1978 - June 17, 1989
WALL STREET WEST, INC.
August 25, 1976 - November 25, 1976
CRAIG-HALLUM, INC.
June 19, 1974 - August 30, 1976
THE MILWAUKEE COMPANY
September 4, 1973 - July 6, 1974
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - September 1, 1973
DUPONT WALSTON, INCORPORATED
September 15, 1972 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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
Series 1
Date: 9/7/1972
Registered Representative ExaminationCurrent Firm
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| 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.
