Kenneth M. Wiggins
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 Mitchell Wiggins JR, who also goes by Mitch Wiggins, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1969. Kenneth had worked at 9 firms and has passed the Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 1985 - April 17, 1995
FIRST CASCADE SECURITIES, INC
May 18, 1983 - April 4, 1985
SENTRA SECURITIES CORPORATION
September 10, 1982 - November 24, 1982
CHARTER INVESTMENT GROUP, INC.
April 15, 1980 - August 24, 1982
LEHMAN BROTHERS INC.
January 31, 1980 - April 26, 1980
UBS FINANCIAL SERVICES INC.
July 14, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 21, 1975 - July 10, 1978
WHITE, WELD & CO. INCORPORATED
March 5, 1973 - December 21, 1975
PAINE WEBBER JACKSON & CURTIES
August 1, 1969 - April 26, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
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: 7/28/1969
Registered Representative ExaminationCurrent Firm
FIRST CASCADE SECURITIES, INC
CRD#: 14100 / SEC#: , 8-30366
Contact information
Documents
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.
