Kenneth A. Winn

DUNHILL & COMPANY

San Francisco, CA 94104

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CRD#: 4382517

Professional summary

Kenneth Allen Winn is a registered financial advisor currently at DUNHILL & COMPANY, LLC located in San Francisco, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kenneth has worked at 11 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. DUNHILL & CO., LLC -CHIEF INVESTMENT OFFICER- RIA INVESTMENT RELATED- 970 RESERVE DRIVE, STE 133,ROSEVILLE, CA 95678-10/18/2018, 30 HRS, 30HRS DURING SECURITIES TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allen Winn'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

October 18, 2017 - Present

DUNHILL & COMPANY, LLC

Office #1: 580 California Street Suite 1226, San Francisco, CA 94104Office #2: 580 California Street, Ste 1226, San Francisco, CA 94104

RIA

CRD#: 289213

San Francisco, CA

Past

June 21, 2019 - March 22, 2023

EMERSON EQUITY LLC

CRD#: 130032

Roseville, CA

Past

November 27, 2017 - March 30, 2018

US CAPITAL GLOBAL SECURITIES, LLC

CRD#: 169544

SAN FRANCISCO, CA

Past

January 28, 2014 - November 9, 2017

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

SAN FRANCISCO, CA

Past

April 30, 2013 - January 24, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SACRAMENTO, CA

Past

April 30, 2013 - January 24, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SACRAMENTO, CA

Past

November 7, 2007 - May 1, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

September 12, 2007 - May 1, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

November 2, 2006 - May 9, 2007

OBSIDIAN FINANCIAL GROUP, LLC

CRD#: 104255

WOODBURY, NY

Past

October 1, 2004 - November 12, 2004

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 16, 2004 - November 12, 2004

WADDELL & REED

RIA

CRD#: 866

SACRAMENTO, CA

Past

February 13, 2003 - August 6, 2003

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

SACRAMENTO, CA

Past

February 12, 2003 - August 6, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

September 30, 2002 - February 24, 2003

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

March 4, 2002 - September 12, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SACRAMENTO, CA

Past

June 19, 2001 - September 12, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/18/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/5/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/25/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/29/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/31/2001

General Securities Representative Examination

Current Firm

DUNHILL & COMPANY, LLC

CRD#: 289213 / SEC#:

California

Registered Investment Advisory firm - (10/18/2017 Approved)

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Contact information

Main Address

580 California Street Suite 1226, San Francisco, CA 94104

Mailing Address

Phone number

(415) 755-6820

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 2,060,629

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 A. Winn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Allen Winn's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

US CAPITAL GLOBAL SECURITIES, LLC

LAIDLAW & COMPANY (UK) LTD.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OBSIDIAN FINANCIAL GROUP, LLC

WADDELL & REED

WADDELL & REED

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

M.L. STERN & CO., LLC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/2007

Series 66

Date: 6/25/2001

SIE

Date: 3/30/2018

Series 31

Date: 6/29/2001

Series 7

Date: 5/31/2001

Current Firm

DUNHILL & COMPANY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DUNHILL & COMPANY, LLC

TRUST BUT VERIFY

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