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KC

Kenneth E. Crosser

Some features on this profile are disabled
CRD#: 4589397
KC

Professional summary

Kenneth Enlo Crosser was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kenneth is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Kenneth had worked at 6 firms, which includes GIRARD SECURITIES INC., CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., OSAIC WEALTH INC., CONCOURSE FINANCIAL GROUP SECURITIES INC., AVANTAX PLANNING PARTNERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Crosser

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 2, 2013 - October 25, 2013

GIRARD SECURITIES, INC.

RIA
CRD#: 18697
OTTUMWA, IA
Past

June 26, 2013 - October 25, 2013

GIRARD SECURITIES, INC.

BD
CRD#: 18697
OTTUMWA, IA
Past

February 17, 2012 - June 17, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
OTTUMWA, IA
Past

February 17, 2012 - June 17, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
OTTUMWA, IA
Past

February 4, 2010 - February 17, 2012

OSAIC WEALTH, INC.

RIA
CRD#: 23131
OTTUMWA, IA
Past

February 3, 2010 - February 17, 2012

OSAIC WEALTH, INC.

BD
CRD#: 23131
OTTUMWA, IA
Past

April 21, 2003 - February 26, 2010

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
OTTUMWA, IA
Past

September 18, 2002 - June 2, 2010

AVANTAX PLANNING PARTNERS, INC.

RIA
CRD#: 106237
OTTUMWA, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2003
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/14/2002
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/18/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

GS
GIRARD SECURITIES, INC.
ALLRED RETIREMENT SERVICES | WILLIAM PRITCHARD | VIDA WEALTH PARTNERS | UNITED CAPITAL FINANCIAL ADVISORS | UCFA-FT. LAUDERDALE | UCFA ILLINOIS | UCFA HARVEST GROUP | UCFA - FORT COLLINS | UCFA | TOROSO FINANCIAL GROUP, LLP | TM WEALTH MANAGEMENT SYSTEMS | STRATTON INVESTORS FINANCIAL SERVICES | SNYDER FINANCIAL SERVICES | SILVERBERG & COOK, INC | SHANLEY & ASSOCIATES | SELBY DIAMOND ENTERPRISES, INC. | SCHEER WEALTH | SB WEALTH STRATEGIES | ROLOFF WEALTH MANAGEMENT, INC. | RINCON PACIFIC MANAGEMENT INC. | RETIREMENT SOLUTIONS | RETIREMENT MONEY MANAGEMENT | PROFESSIONAL ADVISORY SERVICES, INC | PROFESSIONAL ADVISORY SERVICES | PREMIER ADVISORS | PEAK FINANCIAL SOLUTIONS | PACIFIC WEALTH MANAGEMENT | PACIFIC CAPITAL ASSOCIATES | OSWALD WEALTH | NEWCASTLE FINANCIAL ADVISORS, INC | MPC ADVISORS | MILITELLO WEALTH MANAGEMENT, LLC | MEYERS FINANCIAL | LEGACY WEALTH MANAGEMENT | LEGACY FINANCIAL ADVISORS | KOCHAN FINANCIAL GROUP | KESTING FINANCIAL SERVICES | HOFFMAN & ASSOCIATES, INC | HARDWORKING CAPITAL | HAP NIELSEN INVESTMENTS | GUY J. LANDOLFI, CPA | GRS FINANCIAL GROUP | GRAND PRAIRIE FINANCIAL | GLEASON FINANCIAL | GIRARD SECURITIES, INC. | FOCUS FINANCIAL GROUP INC. | FINANCIAL PLANNING AND MANAGEMENT CORP. | DE GROOTE FINANCIAL GROUP | COOLEY AND LABAS FINANCIAL ADVISORS | BRIDGE WEALTH MANAGEMENT | BARTNICK FINANCIAL | ASSET ONE LLC

CRD#: 18697 / SEC#: 801-61470, 8-36920

BD
Terminated by SEC on 01/12/2018
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Contact information

Main Address
9560 Waples Street Suite B, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 04/19/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

GIRARD SECURITIES WRAP FEE BROCHURE 20170331 (3/31/2017)
PART 2A FORM ADV 20170331 FIRM BROCHURE (3/31/2017)

Direct owners and executive officers

NamePositionCRD#
CHARGERS ACQUISITION LLCSHAREHOLDER
BALLARD, JAMES DAVIDVP1714327
BARRAGAN, JOHN ARTHUR IIIPRESIDENT/COO2941942
GRAHAM, LUANNE MARIEADVISORY CCO2310126
HARRISON, BRETT LAMARDIRECTOR4032238
JACOBSEN, BRYAN KB-D CCO, SECRETARY3055957
KLICMAN, SHIRLEY ANNEVP1771713
OLSON, GREGORY ALANASST. SECRETARY2692482
ROGERS, JASON DYLANSENIOR EXECUTIVE VP2641674
SHERROD, TRACI LYNNAVP4321192
SMILEY, STANLEY ROBERTVP3004604
TIETJEN, MARGARET SUSANCHIEF EXECUTIVE OFFICER/ DIRECTOR1294862

Disclosures

Regulatory Event2

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

GIRARD SECURITIES, INC.

CRD#: 18697

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