Kenneth L. Arnold
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 Lee Arnold, who also goes by Ken Arnold, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2001. Kenneth had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2015 - May 9, 2016
AVANTAX ADVISORY SERVICES
October 30, 2015 - May 9, 2016
AVANTAX INVESTMENT SERVICES, INC.
September 3, 2008 - December 24, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 3, 2008 - December 24, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 4, 2005 - September 4, 2008
VOYA FINANCIAL ADVISORS, INC.
August 8, 2003 - September 4, 2008
VOYA FINANCIAL ADVISORS, INC.
March 26, 2002 - August 8, 2003
WADDELL & REED
December 11, 2001 - August 8, 2003
WADDELL & REED
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
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
