Kenneth W. Doerr

CLEARPOOL EXECUTION SERVICES

New York, NY 10004

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CRD#: 4277387

Professional summary

Kenneth William Doerr, who also goes by Ken Doerr, Kenny Doerr, is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2005. Kenneth has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ken Doerr | Kenny Doerr

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) - BD

Click below to view Kenneth William Doerr's CRS (Customer Relationship Summary).

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

Current

May 17, 2024 - Present

CLEARPOOL EXECUTION SERVICES, LLC

Office #1: 17 State Street 38th Floor, New York, NY, 10004

CRD#: 168490

New York, NY

Past

September 23, 2021 - April 4, 2024

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NEW YORK, NY

Past

April 4, 2019 - September 24, 2021

VIRTU AMERICAS LLC

CRD#: 149823

New York, NY

Past

November 29, 2011 - November 3, 2020

VIRTU ALTERNET SECURITIES LLC

CRD#: 47867

NEW YORK, NY

Past

February 14, 2006 - August 3, 2020

VIRTU ITG LLC

CRD#: 29299

NEW YORK, NY

Past

July 12, 2005 - March 10, 2006

LAVA TRADING, INC.

CRD#: 133804

NEW YORK, NY

Past

January 1, 2005 - July 20, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(5/17/2024)

California
(5/17/2024)

Connecticut
(5/17/2024)

Delaware
(5/17/2024)

District of Columbia
(5/17/2024)

Florida
(5/17/2024)

Georgia
(5/17/2024)

Illinois
(5/17/2024)

Louisiana
(5/17/2024)

Maryland
(5/17/2024)

Massachusetts
(5/17/2024)

Michigan
(5/17/2024)

Minnesota
(5/17/2024)

Missouri
(5/17/2024)

Montana
(5/17/2024)

New Jersey
(5/17/2024)

New York
(5/17/2024)

North Carolina
(5/17/2024)

Ohio
(5/17/2024)

Oregon
(5/17/2024)

Pennsylvania
(5/17/2024)

South Carolina
(5/17/2024)

Tennessee
(5/17/2024)

Texas
(5/17/2024)

Virginia
(5/17/2024)

Wisconsin
(5/17/2024)

Exams

State Security Law Exam

Series 63

Date: 1/25/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/4/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/18/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 12/17/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/2012

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

17 State Street 38th Floor, New York, NY, 10004

Mailing Address

17 State Street 38th Floor, New York, NY, 10004

Phone number

(212) 531-8500

Established

New York since 05/07/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BMO FINANCIAL CORP.	SHAREHOLDER
BRICKLEY, THOMAS JOHN	FINOP	3028843
FORLENZA, MICHAEL	PRESIDENT	5886049
WOODWARD, JOEL EDWARD	CHIEF FINANCIAL OFFICER	5467904
YUKILEVICH, DANIEL	CHIEF COMPLIANCE OFFICER	5635481

Disclosures

Regulatory Event

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 W. Doerr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kenneth William Doerr's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANFORD C. BERNSTEIN & CO., LLC

VIRTU AMERICAS LLC

VIRTU ALTERNET SECURITIES LLC

VIRTU ITG LLC

LAVA TRADING, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/25/2005

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/4/2011

Series 55

Date: 3/18/2005

Series 7

Date: 12/17/2004

Series 24

Date: 4/27/2012

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

Nasdaq BX, Inc.

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLEARPOOL EXECUTION SERVICES, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

TRUST BUT VERIFY

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