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KH

Kenneth J. Hanrahan

FIS BROKERAGE & SECURITIES SERVICES
Bolingbrook, IL 60440
Some features on this profile are disabled
CRD#: 4476479
KH

Professional summary

Kenneth James Hanrahan, who also goes by Kenneth J Hanrahan, Ken Hanrahan, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2002. Kenneth has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kenneth J Hanrahan | Ken Hanrahan

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 James Hanrahan'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

November 14, 2018 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440
BD
CRD#: 104162
Bolingbrook, IL
Past

February 26, 2018 - November 1, 2018

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
CHICAGO, IL
Past

February 23, 2018 - November 1, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
CHICAGO, IL
Past

April 5, 2013 - October 5, 2017

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

January 5, 2011 - August 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

May 13, 2004 - August 11, 2011

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
CHICAGO, IL
Past

December 13, 2002 - April 20, 2004

UBS CLEARING SERVICES CORPORATION

BD
CRD#: 44883
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(11/16/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 12/28/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/6/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 10/14/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/12/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC

CRD#: 104162 / SEC#: , 8-52614

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIS CAPITAL MARKETS US LLCSOLE MEMBER
DAMIS, JENEL CARIMACHIEF COMPLIANCE OFFICER3261583
HECKER, STEVEN MICHAELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER3088510
PETERS, DAVID TODDBOARD MEMBER, ASSISTANT SECRETARY7798286
VOGEL, MICHAEL FRANCISCHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY2814935

Disclosures

Regulatory Event23

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.

Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162Bolingbrook, IL 60440

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