Kenneth D. Tingley
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 Dale Tingley, who also goes by Ken Tingley, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 5 firms and has passed the Series 65, Series 63, Series 6, Series 7 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
March 6, 2006 - November 10, 2020
SPC
March 1, 2006 - November 5, 2010
PARKLAND SECURITIES, LLC
December 18, 1998 - March 2, 2006
MONEY CONCEPTS CAPITAL CORP
April 5, 1995 - March 2, 2006
MONEY CONCEPTS CAPITAL CORP
November 19, 1989 - August 28, 1990
OSAIC WEALTH, INC.
May 25, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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: 1/29/1970
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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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