Kenneth L. Archer
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 Archer was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2002. Kenneth had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2017 - August 21, 2017
EK RILEY INVESTMENTS, LLC
December 1, 2010 - July 15, 2015
MANGAN WEALTH MANAGEMENT
November 19, 2009 - September 23, 2010
EK RILEY INVESTMENTS, LLC
November 1, 2006 - March 5, 2007
ELLIOTT COVE CAPITAL MANAGEMENT
June 21, 2002 - October 24, 2006
GARLAND CAPITAL MANAGEMENT INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
EK RILEY INVESTMENTS, LLC
CRD#: 121003 / SEC#: 801-78547, 8-65369
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EK RILEY & CO., INC. | MEMBER | |
| LOUCH, AARON DAVID | CCO / CHIEF FINANCIAL OFFICER | 2662983 |
Disclosures
| Regulatory Event | 3 |
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.
