Kenneth E. Stephens
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 Edward Stephens was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1972. Kenneth had worked at 10 firms and has passed the Series 63, PC, Series 1, Series 4, Series 12 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
January 24, 2003 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 29, 1999 - December 20, 2002
ROBERT W. BAIRD & CO. INCORPORATED
March 31, 1996 - June 9, 1999
UBS FINANCIAL SERVICES INC.
March 25, 1991 - April 2, 1996
RAYMOND JAMES & ASSOCIATES, INC.
September 16, 1977 - March 25, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
July 26, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 17, 1975 - July 26, 1976
BACHE & CO., INCORPORATED
November 8, 1974 - November 18, 1975
SHEARSON HAYDEN STONE INC.
September 6, 1972 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 9/1/1972
Registered Representative ExaminationSeries 12
Date: 2/20/1982
NYSE Branch Manager ExaminationSeries 40
Date: 7/22/1976
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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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